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VOLUME I
THIRD NATIONAL
COMMUNICATION OF
BRAZIL TO THE UNITED NATIONS
FRAMEWORK CONVENTION ON
CLIMATECHANGE
VOLUME I
THIRD NATIONAL
COMMUNICATION OF
BRAZIL TO THE UNITED NATIONS
FRAMEWORK CONVENTION ON
CLIMATECHANGE
Ministry of Science, Technology and InnovationSecretariat of Policies and Programs of Research and Development
General Coordination of Global Climate ChangeBrasília2016
FEDERATIVE REPUBLIC OF BRAZIL
PRESIDENT OF THE FEDERATIVE REPUBLIC OF BRAZIL
DILMA VANA ROUSSEFF
MINISTER OF SCIENCE, TECHNOLOGY AND INNOVATION
CELSO PANSERA
EXECUTIVE SECRETARY
EMÍLIA MARIA SILVA RIBEIRO CURI
SECRETARY OF POLICIES AND PROGRAMS OF RESEARCH AND DEVELOPMENT
JAILSON BITTENCOURT DE ANDRADE
GENERAL COORDINATOR OF GLOBAL CLIMATE CHANGE
MÁRCIO ROJAS DA CRUZ
MCTI TECHNICAL TEAM
DIRECTOR OF THE THIRD NATIONAL COMMUNICATIONMÁRCIO ROJAS DA CRUZ
COORDINATOR OF THE THIRD NATIONAL COMMUNICATION MARCELA CRISTINA ROSAS ABOIM RAPOSO
TECHNICAL COORDINATOR OF THE THIRD BRAZILIAN INVENTORY OF ANTHROPOGENIC EMISSIONS BY SOURCES AND REMOVALS BY SINKS OF GREENHOUSE GASESEDUARDO DELGADO ASSAD
TECHNICAL COORDINATOR OF THE CLIMATE MODELS AND CLIMATE VULNERABILITIES AND ADAPTATION ON KEY-SECTOR STUDIESJOSE ANTONIO MARENGO ORSINI
SUPERVISORS OF THE THIRD NATIONAL COMMUNICATION BRENO SIMONINI TEIXEIRA
DANIELLY GODIVA SANTANA MOLLETA
MAURO MEIRELLES DE OLIVEIRA SANTOS
TECHNICAL ANALYSTS OF THE THIRD NATIONAL COMMUNICATIONCINTIA MARA MIRANDA DIAS
GISELLE PARNO GUIMARÃES
JULIANA SIMÕES SPERANZA
RENATA PATRICIA SOARES GRISOLI
TECHNICAL TEAM ANDRÉA NASCIMENTO DE ARAÚJO
ANNA BEATRIZ DE ARAÚJO ALMEIDA
GUSTAVO LUEDEMANN
JERÔNIMA DE SOUZA DAMASCENO
LIDIANE ROCHA DE OLIVEIRA MELO
MOEMA VIEIRA GOMES CORRÊA
RICARDO ROCHA PAVAN DA SILVA
RICARDO VIEIRA ARAUJO
SANDERSON ALBERTO MEDEIROS LEITÃO
SONIA REGINA MUDROVITSCH DE BITTENCOURT
SUSANNA ERICA BUSCH
VICTOR BERNARDES
ASSISTANT OF THE THIRD NATIONAL COMMUNICATIONMARIA DO SOCORRO DA SILVA LIMA
ADMINISTRATIVE TEAMANA CAROLINA PINHEIRO DA SILVA
ANDRÉA ROBERTA DOS SANTOS CAMPOS
RICARDO MORÃO ALVES DA COSTA
TRANSLATIONMARIANE ARANTES ROCHA DE OLIVEIRA
MINISTRY OF SCIENCE, TECHNOLOGY AND INNOVATIONESPLANADA DOS MINISTÉRIOS, BLOCO E
PHONE: +55 (61) 2033-7923
WEB: http://www.mcti.gov.br
CEP: 70.067-900 – Brasília – DF
B823t Brazil. Ministry of Science, Technology and Innovation. Secretariat of Policies and Programs of Research and Development. General Coordination of Global Climate Change.
Third National Communication of Brazil to the United Nations Framework Convention on Climate Change – Volume I/ Ministry of Science, Technology and Innovation. Brasília: Ministério da Ciência, Tecnologia e Inovação, 2016.
144 p.: il.
ISBN: 978-85-88063-23-5
1. Climate Change. 2. UNFCCC. 3. National Communication. I. Title.
CDU 551.583
AUTHORS AND COLLABORATORS – VOLUME IAderita Ricarda Martins de Sena
Aloisio Lopes Pereira de Melo
Ana Luiza Champloni
Ana Paula Aguiar
Andrea Souza Santos
Beatriz Soares da Silva
Cláudio Hamilton Matos dos Santos
Cláudio Roberto Amitrano
Cristiane Madeira Ximenes
Demétrio Florentino de Toledo Filho
Demetrius Brito Viana
Jose Antonio Marengo Orsini
Juan José Cortez Escalante
Juliana de Senzi Zancul
Liliam Angelica Peixoto Colombo
Paulo Vicente Bonilha Almeida
Rafael Guerreiro Osório
Rodrigo Passos Barreto
Sergei Soares
Sin Chan Chou
INSTITUTIONS INVOLVED – VOLUME IBrazilian Cooperation Agency (Agência Brasileira de Cooperação – ABC)
Institute for Applied Economic Research (Instituto de Pesquisa Econômica Aplicada – IPEA)
National Institute for Space Research (Instituto Nacional de Pesquisas Espaciais – INPE)
Ministry of Agriculture, Livestock and Supply (Ministério da Agricultura, Pecuária e Abastecimento – MAPA)
Ministry of Science, Technology and Innovation (Ministério da Ciência, Tecnologia e Inovação – MCTI)
Ministry of Development, Industry and Foreign Trade (Ministério do Desenvolvimento, Indústria e Comércio Exterior – MDIC)
Ministry of Education (Ministério da Educação – MEC)
Ministry of Finance (Ministério da Fazenda – MF)
Ministry of Health (Ministério da Saúde – MS)
Ministry of Foreign Affairs (Ministério das Relações Exteriores – MRE)
Ministry of Mines and Energy (Ministério de Minas e Energia – MME)
Ministry of Development, Industry and Foreign Trade (Ministério do Desenvolvimento, Indústria e Comércio Exterior
– MDIC)
Ministry of the Environment (Ministério do Meio Ambiente – MMA)
Brazilian Panel on Climate Change (Painel Brasileiro de Mudanças Climáticas – PBMC)
Brazilian Research Network on Global Climate Change (Rede Brasileira de Pesquisas sobre Mudanças Climáticas
Globais – Rede CLIMA)
SYMBOLS, ACRONYMS AND ABBREVIATIONS°C – Celsius degrees
ABAL – Brazilian Aluminum Association (Associação Brasileira do Alumínio)
ABC – Brazilian Academy of Sciences (Academia Brasileira de Ciências)
ABC – Brazilian Cooperation Agency (Agência Brasileira de Cooperação)
ABC – Low-Carbon Agriculture (Agricultura de Baixo Carbono)
ABCM – Brazilian Coal Association (Associação Brasileira do Carvão Mineral)
ABEGÁS – Brazilian Gas Distribution Companies Association (Associação Brasileira das Empresas Distribuidoras
de Gás Canalizado)
ABIQUIM – Brazilian Chemical Industry Association (Associação Brasileira da Indústria Química)
AC – state of Acre
AIE – International Energy Agency (Agência Internacional de Energia)
AL – state of Alagoas
AM – state of Amazonas
ANA – National Waters Agency (Agência Nacional de Águas)
AP – state of Amapá
APAs – Environmental Protection Areas (Áreas de Proteção Ambiental)
ASD – Areas susceptible to desertification
BA – state of Bahia
BNDES – National Bank for Economic and Social Development (Banco Nacional de Desenvolvimento Econômico
e Social)
BPC – Continuous Cash Benefit (Benefício de Prestação Continuada)
BRACELPA – Brazilian Association of Pulp and Paper (Associação Brasileira de Celulose e Papel)
BRICS – acronym for an association of five major emerging national economies: Brazil, Russia, India, China and
South Africa
C2F6 – hexafluoroethane
C40 – Group of the world’s biggest cities united to fight climate change
CBERS – China-Brazil Earth Resources Satellite
CCS – Carbon Capture and Storage
CCST – Earth System Science Center (Centro de Ciência do Sistema Terrestre)
CDB – China Development Bank
CDM – Clean Development Mechanism
CE – state of Cea rá
CEC – Scenario Elaboration Committee (Comitê de Elaboração de Cenários)
Cemaden – National Center for Monitoring and Alerting of Natural Disasters (Centro Nacional de Monitoramento
e Alertas de Desastres Naturais)
CEMIG – Minas Gerais Electrical Utility (Centrais Elétricas de Minas Gerais)
CENPES – Petrobras’ Leopoldo Américo Miguez Research and Development Center (Centro de Pesquisas e
Desenvolvimento Leopoldo Américo Miguez)
CEPAC – Thematic Network for Sequestering Carbon and Climate Change and set up the Carbon Storage
Research Center (Centro de Pesquisas sobre Armazenamento do Carbono)
CEPEL – Center for Electrical Energy Research (Centro de Pesquisas de Energia Elétrica)
Cetesb – Environmental Protection Agency of São Paulo State (Companhia Ambiental do Estado de São Paulo)
CF4 – tetrafluormethane
CGEE – Center for Strategic Studies and Management in Science, Technology and Innovation (Centro de Gestão
e Estudos Estratégicos)
CGMC – General Coordination of Global Climate Change (Coordenação Geral de Mudanças Globais de Clima)
CH4 – methane
CIDES – Interministerial Commission on Sustainable Development (Comissão Interministerial para o
Desenvolvimento Sustentável)
CIM – Interministerial Committee on Climate Change (Comitê Interministerial de Mudança Global do Clima)
CIMGC – Interministerial Commission on Global Climate Change (Comissão Interministerial de Mudança Global
do Clima)
cm – centimeter
CMP – Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol
CNPq – Council of Scientific and Technological Development (Conselho Nacional de Desenvolvimento Científico
e Tecnológico)
CO2 – carbon dioxide
Conabio – National Council of Biodiversity (Conselho Nacional de Biodiversidade)
Conpet – National Program on the Rationalization of the Use of Oil and Natural Gas Products (Programa Nacional
da Racionalização do Uso dos Derivados do Petróleo e do Gás Natural)
COP – Conference of the Parties
COPPE – Alberto Luiz Coimbra Institute – Graduate School and Research in Engineering at the Federal University
of Rio de Janeiro (Instituto Alberto Luiz Coimbra de Pós-Graduação e Pesquisa em Engenharia – UFRJ)
CPM – Research and Modeling Committee (Comitê de Pesquisa e Modelagem)
CPRM – Mineral Resources Research Company (Companhia de Pesquisa de Recursos Minerais / Serviço Geológico
do Brasil)
CPTEC – INPE’s Center for Weather Forecasting and Climate Studies (Centro de Previsão do Tempo e Estudos
Climáticos do INPE)
CTBE – Center for Bioethanol Science and Technology (Centro de Ciência e Tecnologia do Bioetanol)
CTL – Coal-to-liquid
CTNC – Climate Technology Center and Network (Centro de Tecnologia de Clima)
DBSA – Development Bank of Southern Africa
DEGRAD – Mapping of degraded areas
DETER – Real Time Deforestation Detection System (Sistema de Detecção de Desmatamento em Tempo Real)
DF – Federal District
DHN – Navy’s Directorate of Hydrography and Navigation (Diretoria de Hidrografia e
Navegação do Ministério da Marinha)
DNA – Designated National Authority
EEZ – Ecological and Economic Zoning System
Eletrobras – Brazil’s Electrical Utility (Centrais Elétricas do Brasil S.A.)
Embrapa – Brazilian Agricultural Research Corporation (Empresa Brasileira de Pesquisa Agropecuária)
ENSO – El Niño Southern Oscillation phenomenon
EPE – Energy Research Company (Empresa de Pesquisa Energética)
ES – state of Espírito Santo
ESFF – River Family Health Teams (Equipes de saúde da família fluvial)
ESFR – Riverside Family Health Teams (Equipes de saúde da família ribeirinha)
ESGF – Earth System Grid Federation
FAPESP – São Paulo Research Foundation (Fundação de Amparo à Pesquisa do Estado de São Paulo)
FBMC – Brazilian Climate Change Forum (Fórum Brasileiro de Mudanças Climáticas)
FGV – Getulio Vargas Foundation (Fundação Getúlio Vargas)
FIFA – Fédération Internationale de Football Association (International Federation of Association Football)
Funbio – Brazilian Biodiversity Fund (Fundo Brasileiro para a Biodiversidade)
Funcate – Foundation for Space Science, Technology and Applications (Fundação de Ciência, Aplicações e
Tecnologia Espaciais)
Funceme – Cearense Meteorology and Water Resources Foundation (Fundação Cearense de Meteorologia e
Recursos Hídricos)
GEF – Global Environment Facility
GEOMA – Thematic Network of Environmental Modeling Research of the Amazon (Rede Temática de Pesquisa em
Modelagem Ambiental da Amazônia)
GHG – greenhouse gas
GIZ – (Die Deutsche Gesellschaft für Internationale Zusammenarbeit) – German International Cooperation Agency
GLP – Liquefied Petroleum Gas
GO – state of Goiás
GOALS – Global Ocean-Atmosphere-Land System
GOES – Geostationary Operational Environmental Satellite
GOOS – Global Ocean Observing System
GTL – Gas-to-Liquid
GW – gigawatt
hab – inhabitants
HDI – Human Development Index
HFCs – hydrochlorofluorocarbons
IABr – Brazilian Steel Institute (Instituto Aço Brasil)
IAI – Inter-American Institute for Global Change Research
Ibama – Brazilian Institute of Environment and Renewable Natural Resources (Instituto Brasileiro do Meio Ambiente
e Recursos Naturais Renováveis)
IBGE – Brazilian Institute for Geography and Statistics (Instituto Brasileiro de Geografia e Estatística)
ICLEI – Local Governments for Sustainability
ICMBio – Chico Mendes Institute on Biodiversity Conservation (Instituto Chico Mendes de Conservação da
Biodiversidade)
ICMS – Value Added Tax on Sales and Services (Imposto sobre Circulação de Mercadorias e Serviços)
IES Brasil – Economic and Social Implications Project (Projeto Implicações Econômicas e Sociais)
INCT – National Institute of Science and Technology (Instituto Nacional de Ciência e Tecnologia)
INDC – Intended Nationally Determined Contributions
INMET – National Institute of Meteorology (Instituto Nacional de Meteorologia)
INPA – National Institute for Research in Amazonia (Instituto Nacional de Pesquisa na Amazônia)
INPC – National Consumer Price Index (Índice Nacional de Preços ao Consumidor)
INPE – National Institute for Space Research (Instituto Nacional de Pesquisas Espaciais)
IOUSP – Oceanographic Institute of the University of São Paulo (Instituto Oceanográfico da Universidade de São
Paulo)
IPCC – Intergovernmental Panel on Climate Change
IPEA – Institute of Applied Economic Research (Instituto de Pesquisa Econômica Aplicada)
IRENA – International Renewable Energy Agency
ITCZ – Inter Tropical Convergence Zone
JRC – Joint Research Centre
KfW – German development bank
km – kilometer
km2 – square kilometer
LAMEPE – Laboratory of Meteorology of Pernambuco (Laboratório de Meteorologia de Pernambuco)
LANDSAT – Land Remote Sensing Satellite
Landsat / TM – Landsat Thematic Mapper
LBA – Large-Scale Biosphere-Atmosphere Experiment in Amazonia
LNG – liquefied natural gas
m – meter
m3 – cubic meter
m3/s – cubic meter per second
MA – state of Maranhão
MAPA – Ministry of Agriculture, Livestock and Supply (Ministério da Agricultura, Pecuária e Abastecimento)
MAPS – Mitigation Action Plans and Scenarios
MBSCG – Brazilian Model of the Global Climate System (Modelo Brasileiro do Sistema Climático Global)
MCid – Ministry of Cities (Ministério das Cidades)
MCTI – Ministry of Science, Technology and Innovation (Ministério da Ciência, Tecnologia e Inovação)
MDG – Millennium Development Goal
MDIC – Ministry of Development, Industry and Foreign Trade (Ministério do Desenvolvimento, Indústria e Comércio
Exterior)
MDS – Ministry of Social Development and Fight Against Hunger (Ministério do Desenvolvimento Social e Combate
à Fome)
MEC – Ministry of Education (Ministério da Educação)
MERCOSUR – Southern Common Market / MERCOSUR (Mercado Común del Sur) (Mercado Comum do Sul)
MF –Ministry of Finance (Ministério da Fazenda)
MG – state of Minas Gerais
mm – millimeter
MMA – Ministry of the Environment (Ministério do Meio Ambiente)
MME – Ministry of Mines and Energy (Ministério de Minas e Energia)
MODIS – Moderate Resolution Imaging Spectroradiometer
MPOG – Ministry of Planning, Budget and Management (Ministério do Planejamento, Orçamento e Gestão)
MRE – Ministry of Foreign Affairs (Ministério das Relações Exteriores)
MS – state of Mato Grosso do Sul
MT – Ministry of Transportation (Ministério dos Transportes)
MT – state of Mato Grosso
MW – megawatt
MWp – megawatt-peak
N – North
N2O – nitrous oxide
NAFC – Federal Climate Articulation Group (Núcleo de Articulação Federativa para o Clima)
NAMAs – Nationally Appropriate Mitigation Actions
NASA – National Aeronautics and Space Administration
NDE – National Designated Entity
NEB – Brazilian Northeastern region
NO – Northwest
PA – state of Pará
PAE – State Action Programs to Fight Desertification (Programas de Ação Estadual de Combate à
Desertificação)
PAN – National Action Plans (Planos de Ação Nacional)
PAs – Protected Areas
PB – state of Paraíba
PE – state of Pernambuco
PI – state of Piauí
PMBC – Low Carbon Mining Plan (Plano de Mineração de Baixa Emissão de Carbono)
PNAB – National Primary Care Policy (Política Nacional de Atenção Básica)
PPP – Purchasing power parity
PR – state of Paraná
PSE – Health at Schools Program (Programa Saúde na Escola)
PSF – Family Health Program (Programa Saúde da Família)
PSMC Saúde – Health Sectoral Plan for Mitigation and Adaptation to Climate Change (Plano Setorial da Saúde
para Mitigação e Adaptação à Mudança do Clima)
PSTM – Sectoral Plan of Transport and Urban Mobility for Mitigation and Adaptation to Climate Change (Plano
Setorial de Transporte e Mobilidade Urbana para Mitigação e Adaptação à Mudança do Clima)
RBMA – National Council of the Atlantic Forest Biosphere Reserve (Reserva da Biosfera da Mata Atlântica)
RGP – General Fisheries Register (Registro Geral da Pesca)
RJ – state of Rio de Janeiro
RN – state of Rio Grande do Norte
RO – state of Rondônia
RR – state of Roraima
RS – state of Rio Grande do Sul
S – Sul
SACZ – South Atlantic Convergence Zone
SAP – Early Warning System for Drought and Desertification (Sistema de Alerta Precoce de Secas e Desertificação)
SC – state of Santa Catarina
SE – state of Sergipe
SENAC – National Service for Commercial Apprenticeship (Serviço Nacional de Aprendizagem Comercial)
SENAI – National Service for Industrial Apprenticeship (Serviço Nacional de Aprendizagem Industrial)
SEP/PR – Secretariat of Ports (Secretaria de Portos da Presidência da República)
SEPED – Secretariat of Policies and Programs of Research and Development (Secretaria de Políticas e Programas
de Pesquisa e Desenvolvimento)
SEPPIR – Secretariat of Policies for the Promotion of Racial Equality (Secretaria de Políticas de Promoção da
Igualdade Racial)
SESC – Social Service of Commerce (Serviço Social do Comércio)
SESI – Brazilian Social Services for Industry (Serviço Social da Indústria)
SISMOI – System of Monitoring and Observation of Climate Change Impacts (Sistema de Monitoramento e
Observação de Impactos das Mudanças Climáticas)
SP – state of São Paulo
SRT – Home Care Services (Serviços Residenciais Terapêuticos)
SST – sea surface temperature
SUS – Unified Health System (Sistema Único de Saúde)
TEC – Technology Executive Committee
TERRA – Satellite from The Earth Observing System (Satélite do Sistema de Observação da Terra)
TNA – Technology Needs Assessment
TNC – Third National Communication
TO – state of Tocantins
TOGA – Tropical Ocean Global Atmosphere
UCS – Union of Concerned Scientists
UEMOA – West African Economic and Monetary Union (União Econômica e Monetária do Oeste Africano)
UFPE – Federal University of the state of Pernambuco (Universidade Federal de Pernambuco)
UFRGS – Federal University of the state of Rio Grande do Sul (Universidade Federal do Rio Grande do Sul)
UFRJ – Federal University of the state of Rio de Janeiro (Universidade Federal do Rio de Janeiro)
UnB – University of Brasília (Universidade de Brasília)
UNEP – United Nations Environment Programme
UNFCCC – United Nations Framework Convention on Climate Change
UNICA – Sugarcane Industry Union (União da Indústria de Cana-de-Açúcar)
UNICEF – United Nations Children’s Fund
US$ – US Dollar
USA – United States of America
USP – University of São Paulo (Universidade de São Paulo)
W – West
WiFi – Wireless Fidelity
WMO– World Meteorological Organization
TABLE OF CONTENTS
TABLE OF CONTENTS
1 NATIONAL CIRCUMSTANCES ................................................................................................ 23
1.1. Characterization of the Territory ............................................................................................................24
1.1.1. Vegetation and Flora Resources .......................................................................................................... 26
1.1.1.1. Amazon .........................................................................................................................................................27
1.1.1.2. Atlantic Forest ..........................................................................................................................................29
1.1.1.3. Pampa ...........................................................................................................................................................30
1.1.1.4. Pantanal .......................................................................................................................................................31
1.1.1.5. Cerrado .........................................................................................................................................................33
1.1.1.6. Caatinga .......................................................................................................................................................34
1.1.1.7. Coastal Ecosystems .................................................................................................................................36
1.1.2. Fauna ............................................................................................................................................................ 38
1.1.3. Water Resources ........................................................................................................................................ 39
1.2. Climate of Brazil ..........................................................................................................................................41
1.2.1. Rainfall Climatology and Temperature ............................................................................................. 43
1.2.2. Climate Extremes ..................................................................................................................................... 45
1.3. Special Circumstances ...............................................................................................................................48
1.3.1. Regions with Fragile Ecosystems ........................................................................................................ 48
1.4. Priorities for National and Regional Development ...........................................................................53
1.4.1. Social Development ................................................................................................................................. 53
1.4.1.1. National Social Policies System ..........................................................................................................53
1.4.1.2. Human Development in Brazil.............................................................................................................55
1.4.1.3. Evolution of poverty and income inequality in Brazil ................................................................58
1.4.1.4. Profile of health care in Brazil .............................................................................................................66
1.4.1.5. Access to sanitation services ...............................................................................................................70
1.4.2. Economy ....................................................................................................................................................... 74
1.5. Summary of National Circumstances ...................................................................................................78
2 OTHER INFORMATION CONSIDERED RELEVANT TO THE ACHIEVEMENT OF THE OBJECTIVE OF THE CONVENTION ........................................................................................ 83
2.1. Education, Training and Public Awareness .........................................................................................84
2.1.1. Awareness in Brazil about Climate Change Related Issues ..................................................... 85
2.1.1.1. The National Emissions Registry System (SIRENE) ......................................................................85
2.1.2. Brazilian Climate Change Forum ....................................................................................................... 86
2.1.3. Education Programs on the Conservation of Electric Energy and Rational Use of Oil and
Natural Gas By-Products ........................................................................................................................87
2.1.4. Participation of the civil society in preparing the intended nationally determined
contribution to the new agreement under the United Nations Framework Convention on
Climate Change......................................................................................................................................... 89
2.2. Capacity Building .........................................................................................................................................89
2.2.1. Inter-American Institute for Global Change Research (IAI) ....................................................... 90
2.2.2. Intergovernmental Panel on Climate Change (IPCC) .................................................................. 90
2.2.3. Brazilian Panel on Climate Change (PBMC) .................................................................................... 91
2.2.4. Brazilian Research Network on Global Climate Change (Rede CLIMA) ................................. 92
2.2.5. National Institute of Science and Technology (INCT) for Climate Change ........................... 93
2.2.6. National Institute for Space Research (INPE) and climate change ......................................... 95
2.2.7. Amazon Monitoring Program by Remote Sensing ......................................................................... 99
2.2.8. PIRATA Program .......................................................................................................................................101
2.2.9. Monitoring System of the Brazilian Coast (SiMCosta) ...............................................................103
2.2.10. Large-Scale Biosphere-Atmosphere Experiment in Amazonia (LBA) ...............................104
2.2.11. Brazilian Antarctic Program (Proantar) ........................................................................................105
2.2.12. Mitigation Scenarios Monitoring ...................................................................................................106
VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
2.3. Technology Transfer ................................................................................................................................ 108
2.3.1. Technological Requirements in Relation to Energy ....................................................................109
2.3.2. International Cooperation ...................................................................................................................112
2.3.2.1. Promotion of the production of renewable energy sources ................................................. 113
2.3.2.2. Climate modeling and research networks in impacts, vulnerabilities and risks to global
climate changes ..................................................................................................................................... 118
2.3.2.3. Brazilian Cooperation Agency ......................................................................................................... 118
3 RELEVANT INSTITUTIONAL ARRANGEMENTS FOR THE IMPLEMENTATION OF THE CONVENTION IN BRAZIL ..................................................................................................... 121
3.1. Institutional Framework for the implementation of the Convention in Brazil ................... 122
3.1.1. The General Coordination of Global Climate Change ...............................................................123
3.1.2. The Interministerial Commission on Global Climate Change ...............................................125
3.1.3. The Interministerial Committee on Climate Change (CIM) .................................................... 127
3.1.4. Secretariat of Climate Change and Environmental Quality.....................................................130
3.2. Institutional Arrangements for Elaborating National Communications on Permanent Bases .............................................................................................................................................................. 131
3.2.1. Financial, Technical and Capacity-Building Difficulties Associated with the Preparation
of the National Communication ........................................................................................................132
REFERENCES ............................................................................................................................ 135
CHAPTER I NATIONAL CIRCUMSTANCES
CHAPTER I NATIONAL CIRCUMSTANCES
24
CHAPTER I NATIONAL CIRCUMSTANCES
1.1. CHARACTERIZATION OF THE TERRITORY Brazil is located in South America between the parallels 5°16’20” north latitude and 33°45’03” south latitude,
and the meridians 34°47’30” and 73°59’32” west of Greenwich. Its geodesic center is located at the coordinates
10°35’ south latitude and 52°40’ west of Greenwich. The eastern limit is the coast of the Atlantic Ocean, and it has
several oceanic islands, with a special mention to Fernando de Noronha, Abrolhos and Trindade. To the north, west
and south, Brazil borders all South American countries, with the exception of Chile and Ecuador. The Equator and
the Tropic of Capricorn cross the country, with most of its lands located in the lower latitudes of the globe, giving
it the characteristics of a tropical country.
With an area of 8,515,767.049 km2, Brazil is the largest country in South America, and the fifth in the world.
The Federative Republic of Brazil is divided into 26 states, 5,570 municipalities and the Federal District, where
the capital of the Republic, Brasília, seat of the government and the executive, legislative and judicial branches, is
located.
The vastness of Brazil’s territory, in latitude as well as longitude, is home to an extraordinary mosaic of
ecosystems, along with extensive climate and topographic diversity. Throughout its history, these characteristics
have determined the various forms of human occupation and use of the spaces shaped by the country’s tropical
and subtropical nature, which have been categorized, in general terms, as five large geographic regions: North,
Northeast, Southeast, South and Central-West (Figure 1.1).
25
FIGURE 1.1 Brazil’s political-administrative division
Source: IBGE1
The 2010 Demographic Census showed that the Brazilian population was 190,755,799 inhabitants on the survey
reference date. The series of demographic census has shown that the population has experienced successive increases,
having grown almost 20 times since the first census in Brazil, in 1872.
Between the last two demographic censuses, i.e., in the 2000/2010 periods, the highest growth rates were
observed in the North and Central-West regions, where the migratory flow contributed significantly.
According to data from the 2010 Census, the Southeast region is the country’s most populous region, with about
42% of the total inhabitants. The Northeast region is ranked second, with approximately 28%, followed by the
South region with 14%, North with 8% and Central-West, which houses only about 7% of the population.
Recently, the increase of almost 23 million urban inhabitants resulted in an increase in the degree of the
Brazilian urbanization, which jumped from 81.2% in 2000 to 84.4% in 2010. This increase was caused by the
natural growth in urban areas, in addition to the migration to urban areas. The Southeast continues to be Brazil’s
most urbanized region, with a 92.9% degree of urbanization (IBGE, 2011).1
1 Available at: http://7a12.ibge.gov.br/mapas-7a12/brasil
26
VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
Figure 1.2 provides the distribution of the population across the country’s territory, and the map shows Brazil’s
demographic density.
FIGURE 1.2 Demographic Densities in Brazil
Source: IBGE (2011)
1.1.1. Vegetation and Flora Resources
The Brazilian territory comprises six large biomes, according to the type of predominant vegetation, terrain
and/or climatic conditions of the region (Figure 1.3).
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FIGURE 1.3 Distribution of Brazilian biomes in the national territory
Source: IBGE (2004)
According to the Vegetation Map of Brazil (refer to the technical annex of Volume III), forest formations occupy
most of the national territory, and are constituted by humid and seasonal forests, which appear most commonly in
the Amazon and Atlantic Forest.
Savanna formations are predominant in the Cerrado, but they also appear in other regions of the country,
including the Amazon. Steppe savannah formations appear mainly in the Northeastern Caatinga. Steppe formations
appear mainly in plateau and prairies in the far south area of Brazil, in the Pampa biome. Campinaranas can be
found mainly in the Amazon, in the Rio Negro Watershed.
It is worth pointing out that these biomes have peculiar features that combine specific needs and concerns
resulting from the negative effects of climate change. The biomes will be described in detail below.
1.1.1.1. Amazon
The Amazon biome is composed of various ecosystems covering a total area of approximately 7 million km2,
more than 60% of which are within the Brazilian territory. Structurally it is composed of the Andes to the west,
the Brazilian Shield to the south and the Guyana Shield to the north and by the sedimentation basin to the center,
where the major rivers of the region are. In Brazilian territory, the Amazonian ecosystems occupy the states of Acre,
Amapá, Amazonas, Pará, Rondônia, Roraima and the states of Maranhão, Tocantins and Mato Grosso.
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The Amazon is recognized as the largest existing tropical forest, totaling 1/3 of the tropical rainforest reserves
and the largest gene bank on the planet. It is the forest with the highest species richness (MYERS et al., 2000)
and a large quantity of biomass, having accumulated in the biomass of its forests the equivalent to 1.5 decades of
anthropogenic carbon emissions on a global scale (NEPSTAD, STICKLER and ALMEIDA, 2006; SAATCHI et al., 2007).
The Amazon Watershed is the largest reserve of fresh water in the country. It embraces 73.6% of the national
surface water resources. In other words, the average flow rate of the region is almost three times greater than the
sum of the flow rates of all other Brazilian river regions (BRASIL, 2006). The Amazon Watershed is considered to
be the largest riverine basin in the world, accounting for one sixth of the total fresh water of the rivers discharged
into the oceans of the world (JUNK, SOARES and BAYLEY, 2007).
The Amazon climate is typically wet and is exposed to high temperatures. Regarding rainfall, there is a great variation
in precipitation and marked variation also in the seasonality of precipitation in this region (GRIMM, 2011). For example,
some parts of the south and west of the Amazon may face periods of up to five months with less than 100 mm of rain.
The climate dynamics of the atmosphere in the Amazon is established in such a way that this region functions as a
distributor of water vapor for the southern region of the South American continent (NOBRE et al., 2009).
The predominant vegetation in the Amazon is the Dense Humid Forest, a type of vegetation typical of humid
climates (VELOSO, RANGEL-FILHO and LIMA, 1991). The second most common type of vegetation is the Open Humid
Forest, subject to some level of water deficit in the dry season. Three other types of vegetation with representative
biodiversity cover minor extensions. They are: the Semi-Deciduous Forests, facing more prolonged droughts; the
campinas and campinaranas, predominant in the Rio Negro Watershed; and the relict savannas, which occupy small
areas distributed in various regions of the Amazon.
Nowhere on Earth do more animal and vegetation species exist than in the Amazon, both in terms of species
inhabiting the whole region as well as those coexisting in a single location. However, although the Amazon is the
region with the greatest biodiversity on the planet, only a fraction of this biodiversity is known.
Findings of studies in Brazil have also shown that an average temperature rise of 3oC to 4oC in the Amazon
by 2100 would have a significant impact on the forest, which is not adapted to temperatures above 40oC. It is
estimated that the natural vegetation would be replaced by another vegetation similar to the Cerrado, which
endures higher temperatures.
In order to enable the buildup and promotion of an effective policy for mitigation and adaptation to climate
change in the Amazon, it is crucial to know the duo dynamic of this biome as a source and sink of carbon as well
as its response to climate change.
For all the reasons mentioned herein, this region is particularly sensitive to global climate change but it is also
potentially determining to climate change itself.
Instruments for nature conservation in the Amazon are ecosystem management, protected areas and the
study and preservation of species of fauna and flora. Particularly in relation to the fight and prevention against
deforestation, the Brazilian Government employs a number of initiatives, which are consolidated in the Action Plan
for the Prevention and Control of Deforestation in the Amazon Region (PPCDAm). In addition, some states of the
Amazon have successfully used economic instruments such as Payment for Environmental Services, such as the
Bolsa Floresta (Forest Conservation Grant). These combined initiatives are an important component to explain the
recent drop in the Brazilian deforestation rates.
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Such measures to combat deforestation and consequently mitigate greenhouse gas emissions of Brazil will be
detailed in Volume II of this National Communication.
1.1.1.2. Atlantic Forest
The Atlantic Forest is the second largest tropical forest in the South-American continent. It is a complex and
exuberant set of highly important ecosystems that are home to a significant part of Brazil’s biological diversity,
recognized both by the national and international scientific communities. It is also one of the most threatened
biomes in the world due to prolonged human occupation and destruction of habitats and their various typologies
and associated ecosystems. The loss of habitat, fragmentation and forest degradation rank this biome in the 5th
position of biodiversity hotspots (MITTERMEIER et al., 2005).
The Atlantic Forest is distributed along the country’s Atlantic coast, which stretches across the Northeast to
the South of Brazil, reaching sections of Argentina and Paraguay in the Southeast and South. The Atlantic Forest
originally encompassed 1,315,460 km² of the Brazilian territory. Its original borders included areas in 17 states,
(PI, CE, RN, PE, PB, SE, AL, BA, ES, MG, GO, RJ, MS, SP, PR, SC, and RS), which corresponded to approximately 15% of
Brazil. Currently, the region is home to most of the major cities of the country and contains only 12% of its original
vegetation cover distributed in small forest fragments (RIBEIRO et al., 2009).
Even though it has been reduced and fragmented, it is estimated that there are about 20,000 plant species
(about 35% of the existing species in Brazil) in the Atlantic Forest. This abundance is greater than that of some
continents and, therefore, the Atlantic Forest region is a high priority for the conservation of the world’s biodiversity.
The predominant climate in the biome is tropical humid. The Atlantic Rainforest comprises, in most part, low and
medium elevations (1000 m). In the region of occurrence of these forests, average monthly temperatures of at least 18°C
and high precipitation (above 2000 mm annually) predominate and are well distributed throughout the year.
The vegetation of the Atlantic Forest is extremely heterogeneous, being composed mainly of two major
types: the Dense Humid Forest or Atlantic Rainforest (east coast) and Semideciduous Seasonal Forest (located
inland). In addition there are also other special environments, such as pioneering formations (wetland areas
or meadows), sandbanks, mangroves, rupestrian and altitude fields, besides mixed humid forest with araucaria
(SCARANO, 2002).
Currently, approximately 70% of the Brazilian population, or 120 million people that, account for 80% of the Gross
Domestic Product (GDP) of the country, and live in urban and rural areas with fragments of this biome coverage.
The dynamics of human occupation has escalated over the past three decades, resulting in severe alterations
in ecosystems due to the high fragmentation of the habitat and loss of its biodiversity.
Currently sugarcane cultivation, cattle-ranching and plantations of eucalyptus and Pinus occupy significant
space in the Atlantic Forest, and form the landscape of both small properties and sparse vegetation (small in
size, poorly connected, with a high degree of isolation and high edge effect), as by extremely extensive activities
(RIBEIRO NETO, MONTENEGRO and CIRILO, 2011).
On account of high habitat loss and fragmentation, the remaining vegetation suffered drastic modification in
relation to the heights, being more concentrated in high altitudes and on reliefs with moderate slope. Only 7.6% of
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the remaining vegetation was found in more flat areas, and areas with greater slope are among the best-preserved
ones, with 33% of the original coverage. This type of result favors, in part, physiognomies such as rupestrian fields
and fields of altitudes (RIBEIRO NETO, MONTENEGRO and CIRILO, 2011).
The coverage of protected areas of the Atlantic Forest progressed over the last few years, with the contribution
of the Federal, State and, more recently, Municipal Governments and the private sector. However, most of the
remaining native vegetation still remains unprotected. Thus, in addition to the investment in the expansion and
consolidation of protected areas, the strategies for the conservation of the biodiversity of this region also include
innovative forms of incentives for conservation and sustainable use of biodiversity, such as the encouragement of
the recovery of degraded areas and the sustainable use of native vegetation, as well as incentive for payment for
environmental services provided by the Atlantic Forest. Law No. 11,428/2006 and Decree 6,660/2008 are important
instruments for conservation and recovery of the Atlantic Forest. They regulate the use and protection of the native
vegetation of the Atlantic Rainforest biome.
The preservation of the remnants of the Atlantic Forest is one of the basic conditions for the maintenance of
climate regimes, hydrological cycles and mitigation of the effects of air and water pollution in this region (RIBEIRO
et al. 2009).
1.1.1.3. Pampa
Situated in the extreme south of Brazil and also reaching Uruguay and Argentina, the Southern Fields or
“Pampas” is the only Brazilian biome restricted only to one Unit of the Federation, the state of Rio Grande do Sul,
where it occupies 63% of its area, corresponding to approximately 178,000 km2 (CSR and IBAMA, 2010). Also in
this biome, other known types, such as the fields in the high mountain ranges, are found in transition areas with a
predominance of Brazilian pine (araucárias). In other areas there are fields similar to savannas profiles.
The Southern Fields feature a flat and wavy relief. The climate in the region of the Pampas is considered as a
transition between the subtropical climate in the north, and the temperate climate in the south. The rainiest season
coincides with the summer, decreasing during the winter, between the months of April and September. However,
the dry season is not severe. In the Pampeana Province, the average annual rainfall varies from 1,200 to 1,600
mm/year, with average annual temperatures ranging from 13°C to 17°C. The distribution of rainfall is uniform
throughout the year, with some tendency of heaviest rainfall in winter. The monthly average in summer is 120 mm
while in winter it reaches 145 mm, with the amount of total annual rainfall for the region getting close to 1,400
mm/year (GRIMM, 2009). The available data show that the southern fields present considerable stocks of carbon in
its soils, a process that is favored by low temperatures.
In some regions, grassy fields predominate, forming the main matrix of the biome, with two outstanding
formations: clean fields and shrubby fields (VELOSO, RANGEL-FILHO and LIMA, 1991). This field vegetation initially
seems to have an apparent uniformity, however, other types of vegetation are also noted, forming mosaics of
grassland and isolated fragments of forests (capons), riparian vegetation, slope forests and ironwood formations,
shrub formations, butiazais (jelly palms), swamps and rocky outcrops. Associated forests are of different sizes and
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areas and contain elements of deciduous forests, semi-deciduous forests, or humid forests with the occurrence of
tree species commonly known as araucaria (Brazilian pine) (OVERBECK et al., 2007). Its alluvial forest has countless
tree species of commercial interest.
As a set of very old ecosystems, the Southern Fields feature specific flora and fauna and great biodiversity, not
yet fully described by science.
The extensive and continuous cattle-ranching became the most important and traditional form of land use
in the region and has dominated the economy in subsequent stages of development (OVERBECK et al., 2007).
Currently, there has been an intensification of agricultural activities in the region, leading to transformations and
the substitution of natural vegetation by exotic species, seasonal crops, such as rice, soybeans, corn and wheat, as
well as tree species, with the advent of forestry (SUERTEGARAY and SILVA, 2009). The sheep farming is another
activity carried out in the region. Thus, 58,68% of the region of the Southern Fields is occupied by some kind of
anthropogenic activity, mostly rural.
The gradual introduction and expansion of monoculture and pasture with exotic species whose management
involves the use of fire have led to a rapid deterioration and reclassification of natural landscapes of the Southern
Fields. In the Upper Uruguay River and the Medium Plateau, the expansion of soybean and wheat plantation have
led to the disappearance of the fields and clearing of woods. These two crops currently occupy virtually the entire
area, causing a gradual reduction in soil fertility. This also leads to erosion, compacting and loss of soil organic
matter. Estimates of habitat loss reported that approximately 36% of the native vegetation of this biome remained
in 2008 (CSR and IBAMA, 2010).
The Pampa is one of the planet’s most important areas of temperate fields. In addition to its above-described
natural heritage, there is a cultural heritage associated with the biodiversity of the region. In spite of this, in
comparison with the other Brazilian biomes, it is the one that has less representativeness with the National System
of Protected Areas (SNUC)2.
1.1.1.4. Pantanal
The Pantanal is a low region, with a flat relief, located in the center of a watershed, where the rivers flood the
plain and nourish an intricate drainage system that includes extensive lakes, divergent watercourses and differing
areas of runoff and seasonal flood. In 1991, the Interministerial Commission for the Preparation of the United
Nations Conference on Environment and Development defined the Pantanal wetlands in the state of Mato Grosso
as “the largest continuous flooded plain on the planet”. It is also the largest humid continental area in the world.
In view of its importance in terms of natural wealth and biodiversity, it was decreed National Heritage by the
Constitution of 1988 and Heritage of Humanity and Biosphere Reserve by the United Nations, in 2000.
Its geographic location is of particular importance, since it represents the connection between the Cerrado, in
Central Brazil, the Chaco, in Bolivia, and the Amazon region to the North. The Pantanal is the plain physiognomy
that composes, with the Plateau and the Chaco, the Upper Paraguay Watershed, the second largest watershed in
2 This subject will be discussed in more detail in subitem 1.1.1.1 of Volume II of this TNC.
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South America, surpassed only by the Amazon Watershed. Out of an area of approximately 151,313 km², 65% lies
in the State of Mato Grosso do Sul and the remaining 35% in the State of Mato Grosso, both in the Central-West
region of the country. The population of the Upper Paraguay Watershed is approximately 2.5 million people (ANA,
2012; IBGE, 2011) – out of which 70% live in urban areas.
The Pantanal has a typically humid weather (INMET, 1992), whose main characteristic is the marked change in the
water column, that causes the flooding of the plains throughout the year (from October to March), alternately with
water outflows (from April to September), where the evapotranspiration is usually greater than the precipitation.
Thus, the Pantanal acts as a great reservoir, with a gap of up to five months between water inflows and outflows.
The temperatures in the Pantanal are among the most extreme found in Brazil.
Flooding is the most important ecological phenomenon of Pantanal and the pulse is considered a driving force
of the flood ecosystem (JUNK and CUNHA, 2005). These periodically flooded environments have high biological
productivity, great density and diversity of fauna.
In short, the heterogeneity of the Pantanal determines the existence of various swamplands, which have their
own characteristics, with ecological and floristic diversity (CORSINI and GUARIM NETO, 2000). There are several
aquatic and semi-aquatic ecosystems that are interdependent to a greater or lesser degree.
In the Pantanal, the main economic activities are agriculture, cattle-ranching, the agro-food-processing industry
(beef, sausages, etc.), tourism and fish farming. In the vicinity of the city of Corumba there are also mining centers
of manganese and iron and steel (WANTZEN et al., 2008; LIMA 2008). Several charcoal kilns also operate in this
biome, which also presents an eucalyptus forestry.
The agricultural frontier expansion process, which mainly occurred after 1970, was the key cause of the demographic
growth in Brazil’s Central-West region. The population growth process did not affect the wetland plain region, with its
land structure based on large properties geared towards cattle-raising in its swampy areas. There was no significant
increase in the number or population of wetland cities. However, there was fast urban growth on the plateau.
In 2008, the Ministry of the Environment (MMA) and the Brazilian Institute of the Environment and Renewable
Natural Resources (Ibama) signed a cooperation agreement for the implementation of the Program of Monitoring
Deforestation in Brazilian Biomes by Satellite, with the support of the United Nations Development Program
(UNDP). Consequently, the vegetation cover of the Cerrado, Caatinga, Atlantic Forest, Pampa and Pantanal biomes
started to be monitored. Then, non-governmental organizations, with the help of Embrapa, monitored the Upper
Paraguay Watershed between the years of 2002 to 2008. It was identified that the plateau suffers a greater impact
in relation to the plains, arising from agricultural activities.
As for environmental management, land planning in the Pantanal has been performed by means of an Ecological
and Economic Zoning System (EEZ) in the states of Mato Grosso and Mato Grosso do Sul. This action of governance
contributes to a better management of soils and pastures, as a way to mitigate the environmental degradation.
The establishment of a regulatory framework (Law No. 9,878/2013) by the state of Mato Grosso, which created the
State System for Reducing Emissions from Deforestation and Forest Degradation, Conservation, Sustainable Forest
Management (REDD+), is also emphasized. In addition, an instrument of ecological taxes was established in the
state of Mato Grosso and Mato Grosso do Sul, corresponding to a compulsory allocation of part of the amounts
collected by the State as ICMS (Tax on Operations related to the Movement of Goods and Services of Interstate and
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Intermunicipal Transportation and Communication) aimed at financing activities of environmental preservation on
behalf of municipalities. These actions will be described in Volume II of this Communication.
1.1.1.5. Cerrado
The Cerrado is the second largest biome in South America. The springs of three major watersheds of South
America are located in this area (Amazon/Tocantins, São Francisco and Prata), which results in a high aquifer
potential and favors its biodiversity.
The composition of the vegetation is determined by rainfall seasonality, by differences in altitude, low soil
fertility and high frequency of natural burnings (CASTRO, 1994; RATTER et al. , 2003; RIBEIRO and WALTER,
1998). The result is a complex landscape, composed of a mosaic of vegetation, scattered from grassy fields to
forest formations. There are intermediate types of vegetation, such as deciduous forests in more fertile soil
and gallery/riparian forest along the rivers. The most grassy and open vegetation are clean and shrubby fields,
with the presence of shrubs and more frequent trees in the stricto sensu cerrado and cerradão (RIBEIRO and
WALTER, 1998).
Among the tropical savannas, the Cerrado is distinguished by its great diversity of plants, with about 12,000
species of angiosperms (MENDONÇA et al., 2008). The typical vegetation found in the Cerrado is small in size,
with twisted trees, twisted branches, thick bark and thick leaves. Studies conducted suggest that the Cerrado’s
native vegetation do not have this characteristic due to a lack of water — because there is a large and dense water
network there — but rather because of edaphic factors, such as an imbalance of micronutrients, such as aluminum.
The main types of soil are the Oxisoils and Entisol (REATTO et al., 1998), considered generally acid soils, with high
concentration of aluminum and low concentration of nutrients.
The climate conditions are key variables in the distribution and spatial structure of the Cerrado (DINIZ-FILHO et
al., 2008). The average annual temperature is between 20°C and 26°C, but there is a large variation in temperature
due to the differences in altitude (EITEN, 1972). The Cerrado has marked climate seasonality, with average annual
rainfall from 800 to 1,800 mm depending on the region, with 90% of the precipitation occurring in the rainy season
between October and April. An extensive irrigated hydrographic grid of the Cerrado compensates this seasonal effect.
Brazil’s Cerrado is known as the richest savannah in the world in biodiversity, with the presence of several
ecosystems and very rich flora and fauna. It houses 11,627 species of already-cataloged native plants, approximately
199 mammals, 837 birds, 1,200 fish, 180 reptiles and 180 amphibians. The Cerrado is also refuge of 13% of the
butterflies, 35% of the bees and 23% of the termites in the tropics. However, countless species of plants and
animals are endangered. It is estimated that 20% of the native and endemic species no longer occur in protected
areas and that at least 137 species of animals that occur in the Cerrado are threatened with extinction. After the
Atlantic Forest, the Cerrado is the Brazilian biome that went through most changes with human occupation.
The “cerrados” remained unaltered until the 1950s. Starting in the 1960s, with the country’s move inland and
the opening of a new highway network, large ecosystems made room for cattle-raising and extensive agriculture.
Since the 70s, the occupation of this region has been supported, in particular, in the deployment of new road
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infrastructure and energy policy and agricultural expansion (PIRES, 2000), motivated by the presence of cheaper
land and with topography that is adequate to mechanization, thus allowing profitable agrarian activities. In a short
period of time, approximately 50% of the original area of the biome was transformed into a landscape composed
of cultivated pastures (most of it) and agricultural commodities (BRASIL, 2009; 2010b). There is a significant loss of
native vegetation cover along the riversides (LATRUBESSE, STEVAUX and SINHA, 2005), with significant changes in
the hydrological, geomorphological and biochemical systems (NEILL et al., 2006; COE, 2011).
Consequently, there are high rates of deforestation in the region. The topography of the Cerrado, ranging
between flat and mildly wavy land, favored mechanized agriculture and irrigation.
In addition to the environmental aspects, the Cerrado has great social importance. Many populations live
on its natural resources, including indigenous ethnic groups, geraizeiros, ribeirinhos, babaçueiras, vazanteiros and
quilombola communities, which, together, are part of the Brazilian historical and cultural heritage, and possess
traditional knowledge of its biodiversity. More than 220 species have medicinal use and other 416 can be used in
the recovery of degraded soils.
Just like the Amazon Biome, the Cerrado also has a series of initiatives for the prevention and the fight against
deforestation, which are consolidated in the Action Plan for the Prevention and Control of Deforestation in the
Cerrado (PPCerrado); a component of sectoral plans for climate change mitigation, of the National Policy on Climate
Change, later detailed in this document. Other sectoral plans such as the Agriculture of Low Carbon Plan (ABC) and
the Sectoral Plan for the Reduction of the Emissions from the Steel Industry have a broad complementarity and
integration with the PPCerrado, since this biome falls under some of these sectors’ economic activities.
1.1.1.6. Caatinga
The Caatinga biome is the main ecosystem in the Northeast region, extending through the domain of semiarid
climates and occupying 10 states distributed in a total area of 844,453 km2, equivalent to 11% of the national
territory. It is a unique biome despite being located in a semi-arid climate area, with a great variety of landscapes,
relative biological wealth and endemism. Seasonal and periodic droughts create intermittent regimes in rivers and
leave vegetation without leaves. Plant foliage sprouts and turns green again during the short rainy periods.
The Caatinga is dominated by vegetation with xerophyte characteristics (dry plant formations that comprise a
hot and thorny landscape) with strata comprised of deciduous grasses, bushes and short or medium sized trees (3
to 7 meters tall), with a great number of thorny plants, mixed with other species like cacti and bromeliads.
The predominant climate in the Caatinga is the Tropical semiarid. The average annual temperatures are high,
ranging from 23oC a 27oC, but can reach up to 40°C in summer, with relative humidity typically lower than 50%.
Rain schemes are marked by the limited water flow and spatial and temporal variability (REDDY, 1983). Rains are
concentrated in the so-called “rainy season”, which last for about 3 to 4 months and in an irregular distribution. In
some regions, 20% of the annual rainfall occurs on a single day and 60% in a single month (SAMPAIO, 1995).
Over 80% of the Caatinga has some kind of limitation in terms of pedology, with note to the low fertility and low
depth, hampered drainage and excessive concentrations of interchangeable sodium (SILVA, 2000). The condition of
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the shallow soil (litolic), with high acidity and low capacity for water retention in the dry season, acts as selective
edaphic factor for the occurrence of species. This geological formation limits the ability of water infiltration into
the soil, providing greater runoff, which in turn makes the storage of groundwater difficult.
The topography of the Caatinga region constitutes an important factor for the understanding of the semiarid
climate of its interior (SUASSUNA, 2009). The mountains and plateaus form large geological barriers for the
action of the wind and other factors, preventing the rains in higher areas of the eastern and the northern sides of
mountains and plateaus. Because of these weather and geomorphological constraints, the average annual rainfall
varies from 250 to 600 mm.
The climate seasonality is expressed clearly in the structure and functioning of the Caatinga, which presents
different phenological phases (i.e., phases of growth, flowering, anthesis, and fading). The species observed under
these conditions meet the physical and socio-environmental characteristics with physiological and morphological
adaptations that enable them to resist to seasonal low water supply, such as storage of water in parts of the plant,
deciduous or smaller leaves, among others. So far, it is estimated that the vegetation of the Caatinga is composed
of about 930 species, including 380 endemic, resulting in 12 different types of Caatinga, that draw special attention
due to examples of adaptations to semiarid environments.
Most of the local population survives due to an underdeveloped agriculture, vegetal extraction of low quality
and negligible livestock farming. There are cattle and goatherds, with the latter being more important than the
former. Unwooled sheep are also raised as an alternative. Climate irregularity is one of the factors that most
affects the population. Even when it rains, the shallow and rocky soil is unable to store the rainwater and the high
temperatures cause intense evaporation. That is why agriculture is only possible in some areas near the mountains,
where there is a greater amount of rain.
This is a region that deserves special attention of public adaptation policies because it combines climate
and social vulnerability. Currently, the climate conditions of this biome are marked by climate adversity, and the
future projections foresee temperature rise and water stress, resulting from lower levels of precipitation, with
consequences for agriculture and the food and nutritional security of the population in the field. The amount of
rural population, of low qualification and with high rates of poverty, is impressive in the Caatinga. Future climate
change may further intensify the rural exodus, a characteristic of the region. The Caatinga biome is considered one
of the major areas of the world prone to desertification (BRASIL, 2004b).
Agricultural practices of deforestation and burning of vegetation cover that occur in this biome, in addition
to removing nutrients from the soil, leave it exposed to erosive agents, especially water and wind. The main
anthropogenic factors that affect the dynamics of fragmentation of the Caatinga are: large estates, prospection
and exploitation of underground water and fossil fuels (oil and natural gas), formation of pastures, irrigation
and drainage, steel industries, potteries and other industries. These factors cause, in addition to the loss of
biological diversity, deep losses in carbon gains, causing a reduction in soil quality (ARAÚJO, RODAL and
BARBOSA, 2005).
The Caatinga biome ecosystems undergo intense changes with the replacement of native plant species with
crops and pastures. Approximately 80% of the original ecosystems have now been affected by human action.
Another typical environmental problem in the Caatinga is the consumption of native firewood, exploited in an
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illegal and not sustainable way, for domestic and industrial purposes (centers of production of gypsum, lime,
ceramics and pig iron). The Action Plan for the Prevention and Control of Deforestation in the Caatinga was created
to combat and anticipate the deforestation in the region, aimed at not only reducing the rate of deforestation, but,
at the same time, promoting a new model of sustainable development in this biome. This issue will be explained
in detail in Volume II of this Communication.
1.1.1.7. Coastal Ecosystems
In addition to the ecosystems previously described, Brazil’s coastal zone extends for over 8,500km in the Atlantic
Ocean, from the mouth of the Oiapoque River (04°52’45’’N) to the mouth of the Chui River (33°45’10”S) and the limits
of the municipalities in the coastal strip, to the west, up to 200 nautical miles, including the areas around the Atol das
Rocas, the Fernando de Noronha, São Pedro and São Paulo archipelagos and the Trinidad and Martin Vaz islands, located
beyond the aforementioned maritime boundary. Therefore, it is conditioned by the relative interaction among waves,
tides and sediment inflows that vary from north to south of the country, being composed of cold waters on the southern
and southeastern coasts, and warm waters in the north and northeast (BRASIL, 2010a).
The width of the Brazilian continental shelf varies from 8 to 370 kilometers, with depths between 11 and 4,000
meters. Given its extension, one of the world’s greatest, the Brazilian coastal and marine zone encompasses various
climatic environments (wet equatorial, tropical, semiarid and subtropical), and diversified geological formation. The
watersheds and rivers that feed the Coastal Zone have several dimensions and geographical characteristics, such
as the Amazon Watershed, the seasonal rivers in the Northeast, the São Francisco, Doce, Jequitinhonha and Paraíba
do Sul Rivers, the Atlantic watersheds, limited by the Serra do Mar mountains, and the Lagoa dos Patos Watershed.
The Coastal Zone is a privileged portion of the Brazilian territory in relation to natural, economic and human resources.
However, this is an area where approximately a quarter of the population of Brazil lives, resulting in a population
density whose index is five times higher than the average of the national territory. This region also concentrates 13
of 27 Brazilian capitals, some of which are metropolitan regions where millions of people live (BRASIL, 2010a). Such
characteristics are indicators of the high degree of anthropogenic pressure that their natural resources are submitted to.
The Brazilian Coastal Zone records expressive territorial overlap with the Amazon and Atlantic Forest biomes,
and also, but to a lesser extent, with the Caatinga, Cerrado, and Pampa, which does not characterize it as an
ecological unit, but as a complex of contiguous ecosystems forming environments of high ecological complexity
and of utmost importance for sustaining life at sea.
Climate changes that occur on the continent as well as in the Atlantic Ocean (extratropical cyclones in the
South, the Intertropical Convergence Zone, tropical storms and extratropical cyclones in the Northern Hemisphere)
will potentially have important consequences in the coastal region. The effects of climate change on the Coastal
Zone are much broader than those caused by the thermal-eustatic rise of the sea level. This is because the coastal
zone is responsible for a wide range of ecological functions, such as: prevention of floods, saline intrusion and
coastal erosion; protection against storms; recycling of nutrients and pollutants; direct or indirect provision of
habitats and resources for a variety of species, many of which are relevant to the food security of communities that
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live on fisheries resources. In general, the coastal and marine ecosystems, such as coral reefs and mangroves, are
considered especially vulnerable to climate change due to their weakness and limited ability to adapt, in such a
way that the damage caused may be irreversible (see item 1.3.1).
Information on impacts and vulnerabilities of the Brazilian coastal zone to climate change are still scarce in
the country. The little information available relates to some local studies and basically deals with the effects of
a possible rise in sea levels on such systems. Brazil does not have a historical series of detailed data about the
impacts and vulnerabilities of this ecosystem and this is the greatest limitation for enhanced and consistent
analysis on the issue. There are not multilevel studies on the vulnerability of Coastal Areas either. The Brazilian
Research Network on Global Climate Change (Rede CLIMA) and the National Institute of Science and Technology
(INCT) are bodies that have worked in the fulfillment of these scientific gaps, as it will be detailed later in Volume
II of this Third National Communication.
In terms of developments in the production of knowledge in the formulation of public policies, the First
Assessment of the Priority Areas for the Conservation of Biodiversity in the Coastal and Marine Zone was held
in 1999, with resources of Probio3 and executed by a set of governmental and non-governmental institutions.
The results of the workshops that gave rise to this first evaluation were gathered in the document “Avaliação
e Ações Prioritárias para a Conservação da Biodiversidade das Zonas Costeira e Marinha” (Evaluation and Priority
Actions for the Conservation of Biodiversity in the Coastal and Marine Zones), published in 2002 by the Ministry
of the Environment. Despite some limitations, this document represented, at the time, the most complete
technical-scientific synthesis about the situation of coastal and marine ecosystems at the national level,
bringing together a set of data, information and analyzes that were scattered before or reflected only regional
cutouts. Later, in 2006, an upgrade process of priority areas and the definition of actions were performed for
the Coastal and Marine Zone, which can be found in the new publication of the Ministry of the Environment
entitled “Panorama da Conservação dos Ecossistemas Costeiros e Marinhos no Brasil” (Outlook of Coastal and
Marine Ecosystems in Brazil). This update meant the opportunity to undertake a more detailed analysis, in
the scale of the various ecosystems that make up the Coastal and Marine Zone, on the current situation of
their ecological representativeness, considering the categories of protected areas of the National System of
Protected Areas (BRASIL, 2010a).
Resolution No. 3/2006, of the National Council of Biodiversity (Conabio), provides for the effective conservation
of at least 10% of the Coastal and Marine Zone through protected areas, and at least 10% of the marine area,
by means of full protection areas and/or areas of exclusion of temporary or permanent fishing, integrated with
protected areas, aiming at the protection of fish stocks. Regarding the sustainable use of components of marine
biodiversity, the resolution provides for the recovery of at least 30% of the major fish stocks through participative
management and the control of capture.
The assessment of 2006 underlined the need for the creation of Protected Areas in 145 areas, representing
34.4% of the total area of the Brazilian coastal zone. The Ministry of the Environment is currently performing a
new update analysis to the priority areas of the Brazilian Coastal and Marine Zone, which guides their actions for
conservation, sustainable use and benefit sharing of the Brazilian biodiversity.
3 Project for the Conservation and Sustainable Use of the Brazilian Biological Diversity (Probio).
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With respect to fish stocks, the Ministry of Fisheries and Aquaculture of Brazil was created in 2009. It aims
at contributing to the sustainable management and development of fishing activity, replacing the old-fashioned
standard of the predatory fishing, by means of monitoring and control systems, as for example, the General
Fisheries Register (RGP).
Regarding the corals, Brazil has the only hard-coral reef beds of the South Atlantic. Out of the more than 350
species of coral reefs in the world, Brazil’s reef formations feature at least 20 of them, and eight are endemic to
the country. A program to monitor coral reefs was created in 2002 with the financial support of the Ministry of the
Environment. This program is coordinated by the Federal University of Pernambuco (UFPE) and carried out by the
Coastal Reefs Institute (Instituto Recifes Costeiros). As of 2011, the Chico Mendes Institute for the Conservation of
Biodiversity (ICMBio), an agency under the Ministry of the Environment, has initiated efforts for the continuity and
internalization of the program in Federally Protected Areas.
In addition to the integration of the conservation of the Brazilian coastal and marine zones to the National
System of Protected Areas, as a way to preserve the biodiversity of coastal ecosystems, the following initiatives also
stand out in Brazil: Ecological Corridors Project, Sea Collegiate of the Atlantic Forest Biosphere Reserve and the
financing of third-party research, or through the national centers of research and conservation of the ICMBio and
Ibama, carried out by the Ministry of the Environment.
In 2008, the National Council of the Atlantic Forest Biosphere Reserve (RBMA) created the Sea Collegiate,
aiming at formulating guidelines for the implementation of the marine portion incorporated in the RBMA, as well
as the creation of one or more reserves of the marine biosphere that allow for the conservation of the coastal and
marine landscapes. The Sea Collegiate is composed of participants from networks of marine coastal NGOs, the
Network of NGOs of the Atlantic Forest, the business sector, residents, users and the scientific community. Namely,
the RBMA covers approximately 5,000 out of 8,000 kilometers of the Brazilian coast, advancing into the sea and
encompassing various oceanic islands, such as Fernando de Noronha, Abrolhos, and Trindade.
1.1.2. Fauna
Fauna’s role includes the maintenance of a healthy environment with necessary services to the maintenance
of human life, such as food, pollination and dispersion of plants, maintenance of the population balance, and pest
control. Brazil is one of the richest countries in number of animal species, with about 13% of all the amphibian
species described in the world (SILVANO & SEGALLA, 2005); 10% of all mammals (COSTA et al., 2005); 17.8% of all
butterflies (BROWN & FREITAS, 1999) and 21% of all the continental water fish on the planet (AGOSTINHO et al.,
2005). Of the 624 taxa4 of existing primates in the world, 133 species and subspecies live in the Brazilian territory,
representing 21% of all taxa found on the planet (CHIARELLO et al., 2008). Moreover, Brazil is ranked fourth in
relation to the total number of reptiles, after Australia, Mexico and India (MARTINS and MOLINA, 2008).
According to the compilation available on the number of Brazilian fauna species – the “Red Book of the Brazilian
Endangered Fauna Species” (MACHADO et al., 2008), within the universe of species known by science, Brazil has 652
4 The Latin word “taxon”, plural taxa, is a taxonomic unit, essentially related to a cliassification system. Taxa may be at any level of a classification system, thus, an order is a taxon; a gender, as well as a species, is a táxon, or any other living being classification unit.
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CHAPTER INATIONAL CIRCUMSTANCES
species of mammals, 800 amphibians, 1,800 birds, 641 reptiles, 2,300 freshwater fish, 1,298 saltwater fish and more
than 100,000 species of land invertebrates, of which insects represent the largest group. However, knowledge about the
diversity of Brazilian fauna is still incomplete. It is estimated that less than 10% of the existing total is actually known.
In December 2014, the Ministry of the Environment presented new National Lists of Endangered Species5. The Lists of
Endangered Species of the Brazilian Flora, produced by the Botanical Garden of Rio de Janeiro, and the List of Endangered
Species of the Brazilian Fauna, prepared by the ICMBio, were published. The President of ICMBio, Roberto Vizentin,
highlighted the partnerships for this study: 1,383 specialists from the scientific community of over 200 institutions were
involved in list-making process, which will provide society with better fauna protection conditions.
Among the data presented, there are the 170 fauna species that left the endangered animals list, such as
the humpback whale (Megaptera novaeangliae) and the hyacinth macaw (Anodorhynchus hyacinthinus), which had
their populations recovered. According to research, some factors contributed to this situation: rediscovered extinct
species, expansion of knowledge about the species and population growth or habitat protection.
Carried out by ICMBio’s General Coordination of Management for Conservation, the mapping of the Brazilian
fauna is the result of a continuous process, which started in 2009. Based on the methodology adopted by the
International Union for Conservation of Nature (IUCN), there were 73 assessment workshops, followed by the
editing of the collected information and the validation step of the methods applied. The new List of Endangered
Species of the Brazilian Fauna stands out for its coverage: 12,256 species (including fish and aquatic invertebrates)
have been analyzed in the past five years.
The previously used methodology defined as object of study only those species already considered at potential
risk of extinction. Now the species studied make up a rich database with information on geographical distribution,
ecology and habitat, population data and presence in protected areas (PAs).
1.1.3. Water Resources
In Brazil, there are abundant water resources available and heterogeneously distributed throughout the territory.
Endowed with a vast and dense hydrological network, many of its rivers are noted for their length, width and/or
depth. Brazilian territory has eight large watersheds: the Amazon River, the Tocantins River, and the South Atlantic
– north and northeast sections, the São Francisco River, and the South Atlantic – east section, the Paraná River, the
Uruguay River and the South Atlantic – southeast section (Figure 1.4). As a result of the nature of the continental
relief, there is a predominance of plateau rivers, which are characterized by sudden drops in altitude, deep narrow
valleys, among other characteristics that give them high potential for electric power generation. However, these
same characteristics make navigation difficult. Among the great national rivers, only the Amazon and the Paraguay
are predominantly lowland rivers and are extensively used for navigation. The main plateau rivers are the São
Francisco and Paraná.
5 Available at: http://www.icmbio.gov.br/portal/comunicacao/noticias/4-destaques/6658-mma-e-icmbio-divulga-novas-listas-de-especies-ameacadas-de-extincao.html
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FIGURE 1.4 Brazil’s watersheds
Source: Aneel6
The annual average flow rate of the Brazilian rivers is 179,000 m3/s, which corresponds to approximately 12% of the
available world surface water (PBMC, 2013). Brazil also has 3,607 m3 of maximum volume stored in artificial reservoirs
per inhabitant. This value is higher than the volume stored in several continents individually (ANA, 2013).
Water resources are very important for the country, since most of its energy mix is based on hydroelectric
plants (for more details see item 1.3 of Volume II of this Communication). The Brazilian hydroelectric potential
is estimated at approximately 245 GW, of which 38.8% are located in the Amazon Watershed. For comparison
purposes, the Parana Watershed responds for 25.6%, the Tocantins for 10.8% and the São Francisco for 9.2% of the
hydroelectric potential of the country (ELETROBRAS, 2013). 6
In 2013, the watersheds of Paraná, Uruguay, São Francisco, South Atlantic – east section and South Atlantic
– southeast section were responsible for supplying hydroelectric power to the country’s areas with the greatest
demographic and industrial concentration. Among those, the Paraná watershed stands out, not only because of its
potential, but also as having the highest percentage in operation or under construction.
In terms of use of the potential, the most saturated watersheds are the Paraná, the Uruguay, the Tocantins and the
São Francisco, with usage indexes (ratio between potential used and existing potential) of 69.0%, 55.0%, 50.0% and
47.0%, respectively. The lowest usage rates are seen in the Amazon and the South Atlantic – north and northeast sections.
6 Available at: http://www.aneel.gov.br/area.cfm?id_area=104>
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CHAPTER INATIONAL CIRCUMSTANCES
The low utilization rates for the Amazon River watershed are due to the predominantly lowland relief, its huge
biological diversity and its distance from the main power consumption centers. In the central-south area of the
country, the more rapid economic development and the predominant relief (plateaus) made it possible to utilize
more of its hydraulic potential. However, with the country’s population moving inland and the depletion of the most
potential in the South and Southeast regions, it has become necessary to develop hydroelectric power in more
remote and economically less developed regions.
In the Northeast region of Brazil, the uneven distribution of rainfall, along with the possibility of a long period
of time between rainy seasons, accounts for the intermittent character of many rivers. In view of this climatic
peculiarity, ponds are used for water storage and distribution, both for household consumption and for developing
irrigated agriculture. In the semiarid Northeast, year-round high temperatures, low temperature ranges (between
2oC and 3oC), strong insolation and high rates of associated evapotranspiration affect a scenario in which the rates
of evapotranspiration typically exceed the total rainfall, setting negative rates in the water balance. For this reason,
this is a region of the country that requires special attention. In the case of ponds, the National Water Agency (ANA)
together with the states and agencies responsible for their operation carry out the monitoring of the situation of
the reservoirs in the Northeast, a monthly volume monitoring (ANA, 2013).
1.2. CLIMATE OF BRAZIL Brazil is a country with equatorial, tropical and subtropical climates. This diversity results not only from the
country’s geographic location, but also due to variations in its terrain, leading to different characteristics for
the atmospheric macrosystems. In northern Brazil, especially the region encompassing the Amazon rainforest,
equatorial climate is predominant, and characterized by frequent rains and intense heat. The tropical regions have
high temperatures, but less regular rainfall. Southern Brazil, in turn, has predominance of subtropical climate, with
the possibility of achieving below-zero temperatures during winter.
The Amazon forest contributes greatly to the maintenance of climate conditions in South America, interfering
with precipitation of the region and also contributing to the planet’s energy balance.
One of the large-scale factors responsible for the climate variability in South America is the occurrence of the
El Niño Southern Oscillation phenomenon (ENSO), warming of Pacific Ocean waters. In addition to El Niño, the
meridional gradient of anomalies – variations in relation to the average – in the sea surface temperature (SST)
over the tropical Atlantic jointly modulate a large part of the interannual climate variance over South America.
The combination of atmospheric circulations induced by spatial distributions of SST on the Equatorial Pacific
and Tropical Atlantic oceans affect the positioning of the Inter Tropical Convergence Zone (ITCZ) on the Atlantic,
influencing the distribution of rainfall over the Atlantic Watershed and northern South America. This variability
exerts profound influence on the climate variability over the eastern Amazon, as well as the far south of Brazil.
There is also the influence of the South Atlantic Convergence Zone (SACZ) that is formed in summer and is
described as a persistent band of precipitation and cloudiness oriented towards northwest-southeast Brazil,
extending from the southern Amazon to the South-Central Atlantic for a few thousand kilometers.
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A recent study (ALVARES et al., 2014) presents a revised version of climate classification in Brazil, using the
Koppen system (Figure 1.5). The high resolution of the climate map by Koppen, developed in this study, improved
and highlighted different climate categories found along the Brazilian territory, as per the previously published
maps. The map extracted from this study also represents the first approach in the literature to develop a map of
the climate by Koppen, in hectare-scale for Brazil (851,487,700 ha). In this fine scale, the three types of climate
for Brazil (A, 81.4%; B, 4.9% and C, 13.7%) were described with the following subtypes; Af, Am, Aw, As, Bsh, Cfa, Cfb,
Cwa, Cwb, Cwc, Csa, Csb. These areas and climate types, identified in this climate high-resolution map, provide both
a deeper view of the climate at the local and regional levels of the country, as well as the identification of climate
types never reported before.
FIGURE 1.5 Brazil’s climate classification, according to Koppen’s the criteria (1936)
Source: Alvares et al. (2014)
Zone A, representing tropical climate, stretches for about 81.4% of the Brazilian territory. The main reason for
this climate to be present in much of the country is because in these areas there are no limiting factors in relation
to altitude, precipitation and temperature in order to impose other climate zones. Zone B, representing semiarid
climate, is remarkably the typical climate of Northeastern Brazil, occurring primarily in landscapes where annual
precipitation falls on average to less than 800 mm/year. The subtropical climate, classified as Zone C, covers 13.7%
of the Brazilian territory, occurring mainly in the South Region, on its mountains and plateaus.
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1.2.1. Rainfall Climatology and Temperature
Based on rainy seasons, Brazil can be divided into four regions: Amazon, Northeastern Brazil (NEB), Central
Brazil and Southern Brazil (Figure 1.6).
FIGURE 1.6 Map of annual distribution of rainfall (mm/year) in Brazil
Source: Alvares et al. (2014)
Figure 1.7 shows the map of annual average temperature in Brazil. The highest temperatures are in the Northern
Region and in the north of the Northeast, reaching on average over 26oC, and in the south and west of the Amazon
it can vary between 24-26oC. In the Northeast it varies between 22-24oC and, in the Central-West and Southeast
the averages varies between 20-24oC, with lowest values in higher regions of the states of Minas Gerais, Rio de
Janeiro and São Paulo, reaching up to 14-16oC. In the South of Brazil, averages range between 12-20oC, with lower
values on the hills (10-12oC).
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FIGURE 1.7 Map of distribution of annual average temperature (oC) in Brazil
Source: Alvares et al. (2014)
Most of Brazil is under the effect of the monsoon regime, consistent with high monthly totals of rain in spring
and summer and low values in the autumn and winter. Generally speaking, precipitation is year-round intense in
northwestern Brazil. In Central Brazil, the seasonal variation of rainfall is influenced by the seasonal migration of
the high-pressure system of the South Atlantic.
At South of the Equator, winter is the dry season in the tropical zone (0-25°S), with the exception of the coastal regions
along the Atlantic, particularly on the coast of the Northeast. In most of southern Brazil, where there is availability of
water vapor throughout the year, dynamic conditions in the atmosphere are conducive for maximum rainfall in autumn,
winter and spring in different regions. The South is a transition region between the regimes of summer monsoon and
winter at medium latitudes, having its precipitation well distributed throughout the year (GRIMM, 2009).
The seasonal cycle of rain in Brazil is affected by inter annual variations, which can produce changes in the
cycle of rainfall, such as, for example, the occurrence of drought during the rainy season, or even an abundant rainy
season. An important source of inter annual variability are the El Nino and La Niña.
In the North region of the country, there is an equatorial rainy climate, practically without a dry season. In the
Northeast region, the rainy season is restricted to a few months, characterizing a semiarid climate. The Southeast and
Central-west are influenced both by tropical systems and medium latitudes, with a well-defined dry season in winter and
a rainy season in summer with convective rainfall. Due to its latitudinal location, the South region of Brazil suffers more
influence of medium latitudes systems, where the front systems are the main cause of rainfall during the year.
Regarding temperatures, in Brazil, high temperatures are registered in the North and Northeast regions, with
little variability during the year, typical of the tropical climate. In medium latitudes, temperature variation over the
course of the year is more evident, with predominance of low temperatures during winter, when there is a greater
penetration of masses of cold air at high latitudes.
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CHAPTER INATIONAL CIRCUMSTANCES
1.2.2. Climate Extremes
Climate extremes (excess and deficiency of rain, heavy rains, and dry periods) may give rise to impacts (droughts,
floods, mudslides, landslides). Furthermore, weather and climate extremes have changed their frequency, intensity,
spatial distribution, duration and the synchronism between some of these events, resulting in never-seen-before
extreme conditions (IPCC, 2012). Changes in extremes can be linked to changes in the average, variance and/or
form of their occurrence probability distribution.
The drought or flood in the Amazon can be different from that of the Northeast. In recent droughts in 2005
and 2010, and the flood of 2009, 2012-14 in the Amazon region, droughts and floods have been defined not by the
volume of rain recorded in the summer, but by the levels of the rivers in the Amazon during the following autumn-
winter. In the case of the Northeast, the drought is rather defined by the volume of rainfalls, and if it is too low, it
may compromise the volume stored in reservoirs or dams or in the form of soil moisture. These impacts have been
large in Brazil, including economic and social losses and, sometimes, the loss of human lives. Next, some of the
most important climate extremes observed over the last 10 years in Brazil are presented. It is important to mention
that among the already-observed impacts, there are recent records of an increase in the intensity and frequency of
extreme events (floods and droughts), Figure 1.8 shows a summary of the events that will be detailed hereunder.
FIGURE 1.8 Climate extremes observed in the past 10 years in Brazil
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
1 3 4 5 6 4
1: Hurricane Catarina (the
first South Atlantic hurricane)
2: Droughts in the Amazon
3: Heavy rains in Santa Catarina
4: Floods in the Amazon
5: Heavy rains on the Northeast coast of Alagoas-Pernambuco
6: Heavy rains in the mountainous region of the state of Rio de Janeiro
7: Drought in the Northeast
2 2 7
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First Occurrence of a South Atlantic hurricane, the Catarina (2004)
“Hurricane Catarina” is one of the several informal names for a tropical cyclone of the South Atlantic that
reached the South region of Brazil at the end of March 2004.
The disturbance was at a region with excellent weather conditions, with low shear wind and sea surface
temperature above the average. The storm winds reached maximum sustained up to 180 km/h, defined as category
2 on the scale of hurricane by Saffir-Simpson rating of hurricanes, becoming the first tropical cyclone to be officially
registered in the South Atlantic.
Catarina destroyed about 1,500 homes and damaged another 40,000. The economic losses were significant,
especially in the agriculture of banana, where 85% of the production were lost, and rice, where 40% of the
plantations were also lost. Moreover, the destructive impact of the cyclone caused the death of three people while
75 were injured. The economic damage caused by Catarina amounted to 350 million dollars.
Heavy rains in the mountainous region of the state of Rio de Janeiro (2011)
In January 2011, heavy rains caused floods and landslides in the mountainous region of the state of Rio de
Janeiro, located in the Southeast of Brazil, devastating mountainous cities. According to official Brazilian sources,
floods and landslides caused the death of 916 people and left another 35,000 homeless. This was one of the
worst natural disasters in the history of Brazil. While the average rainfall (1961-1990) for the month of January
in this region is 230mm, the accumulated precipitation during the month of January 2011 was approximately
460mm. Heavy rain in that period caused floods and hillside slidings, and many households located in hazardous
areas in deforested slopes were buried. Plantations were ruined. Highways, roads, hospitals and sewage systems
collapsed and were all destroyed. The isolation of these cities and the risk of epidemics left the population and
local governments in a permanent state of alert (MARENGO et al., 2012).
Episodes of Drought in the Amazon (2005, 2010)
In 2005, a large part of the Western Amazon experienced one of the worst droughts in over a century. The
severe drought affected the human population along the main stream of the Amazon River and its West and
Southeast tributaries, the Solimões and the Madeira Rivers, respectively. The levels of the rivers fell to historical
low levels and the navigation along these rivers had to be suspended, which led several countries of the Amazon
Region (Brazil, Bolivia, Peru and Colombia) to officially declare state of “public calamity”7 in September 2005. The
drought left thousands without food, caused problems for the inland waterway transport, agriculture, generation of
hydroelectric power, and also affected directly and indirectly the populations living along the rivers in the region.
Because tropical forests dried out, severe forest fires broke out in the region, affecting hundreds of thousands of
hectares of forest. These fires produced extensive smoke that affected human health, and airports, schools and
businesses had to be closed.
7 In Brazil, a state of public calamity is an abnormal situation, caused by disasters, causing damage and losses that lead to considerable impairment of the response capacity by the public authority of the struck agent (Source: Decree Nº 7,257, 4 of August 2010).
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After the drought of 2005, drought struck the Amazon region again in 2010. Conditions drier than normal were
observed in the area covering the northwest, central and southwest Amazon during the Southern Hemisphere summer
and in the rest of the Amazon until the end of the year. Less rain and higher temperatures left water levels in the Rio
Negro (Black River) at historic lows for the first time in 107 years. Drier conditions also favored the occurrence of forest
fires in southern Amazon: September occurrences were approximately 200% higher compared to 2004.
The 2005 and the 2010 droughts were similar in terms of weather severity, however, the hydrological impacts
of the drought of 2010 were more extensive on the water levels. Transport, fishing activities and the water supply
were affected due to the abnormal low levels of the river.
Heavy rains in Santa Catarina (2008)
Southern Brazil, in the Itajaí Valley, witnessed prolonged heavy rains resulting in extensive flooding and multiple
landslides in November 2008. About 1.5 million people across the state of Santa Catarina (one fourth of the total
population) were directly affected by this extreme event, 69,000 people were displaced, 120 lives were lost and
the state officially declared a state of emergency8. Landslides and floods caused by the storms blocked almost all
roads in the region and water and electricity were cut-off for thousands of homes. Landslides that swept through
homes and businesses caused the majority of deaths. The storms broke part of the gas pipeline coming from Bolivia
to the south of Brazil and forced the suspension of fuel supply for part of the state of Santa Catarina and the entire
state of Rio Grande do Sul. Non-official estimates of losses due to this extreme rain event, with resulting floods and
landslides, are at US$ 350 million, as well as due to the fact that the Port of Itajaí was inoperable for a few days.
Episodes of flooding in the Amazon (2009, 2012-14)
During 10-year period that ended in 2014, severe flooding was detected in Western and Central Amazon in 2009,
2011 and 2012-13 and 2014. Previous observational studies (MARENGO, 2004; RONCHAIL et al., 2002; MARENGO
et al., 2008a,b, 2011, 2013; TOMASELLA et al., 2011; ESPINOZA et al., 2011, 2012, 2013, 2014) identified excess
rains that produced earlier floods in the Amazon in 1953/54 and 2008/09 and were related to a hot and tropical
environment of the South Atlantic.
During what was called at the time “flood of the century” in 2009, the levels of Rio Negro, at the port of Manaus,
in July 2009, reached a high record of 29.77 meters according to the CPRM.
In 2012-2013, the Amazon experienced again one of the worst episodes of flooding in recent history. Many
cities and urban areas remained under a State of Emergency, with the Solimões River and the Rio Negro, the two
main tributaries of the Amazon River, overflowing.
The recent floods in 2014 in Southwestern Amazon revealed a rainfall of approximately 100% above the normal,
and the discharge to the Madeira River (main tributary of the southern Amazon) was 74% greater than the normal
(58,000 m3/s) in Porto Velho and 380% (25,000 m3/s) in January 2014. The levels of Rio Negro in Manaus were 29.47
mm in June 2014, corresponding to the fifth largest record during the 113-year monitoring of the Rio Negro.
8 In Brazil, an emergency situation is an abnormal situation, caused by disasters, causing damage and losses that lead to the partial impairment of the response capacity by the public authority of the struck agent (Source: Decree Nº 7,257, of 4 August 2010).
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Drought in the Northeast (2012-2014)
Since 2012, Brazil’s Northeast is suffering its worst drought in 50 years, with more than 1,400 municipalities
affected. In 2012, the region declared a State of Emergency in the most municipalities in the area due its worst
drought in 30 years, affecting more than 4 million people.
The drought destroyed large areas of agricultural land, caused drinking water shortage in hundreds of cities
and towns throughout the region, and raised conflict among farmers for food and water for cattle. This situation
lasted from 2013 to 2014, but the most intense droughts were detected in 2012.
1.3. SPECIAL CIRCUMSTANCESThis section’s objective is to examine special circumstances that result in specific needs and concerns arising
from the adverse effects of climate change and the impact of the implementation of response measures pursuant
to Article 4, paragraph 8 of the United Nations Framework Convention on Climate Change.
The First National Assessment Report of Working Group 1 of the Brazilian Panel on Climate Change served as
an important source of research, from which the following excerpts were extracted.
It is worth noting, however, that a decision was made to include, in the description of Brazilian biomes (item
1.1.1), the susceptibilities and vulnerabilities of each one in face of climate change, restricting and detailing the
approach to regions with fragile ecosystems.
1.3.1. Regions with Fragile Ecosystems
The concept of environmental fragility or fragile areas regards susceptibility to any environmental damage,
either in fragile ecosystems or areas, or significant portions or fragments with unique characteristics and resources.
Fragile ecosystems include deserts, semiarid lands, mountains, wetlands, small islands and certain coastal areas.
Most of these ecosystems are regional, and transcend national borders.
In the case of Brazil, it is possible to identify eight major categories of fragile areas, including those already
recognized by law: hilltops, slopes and cliffs; springs of water courses; margins of waterways, floodplains and
flood beds; lakes, ponds and lagoons; aquifer recharge areas; mangroves; sandbanks; and areas susceptible to
desertification (GOMES e PEREIRA, 2011).
Brazilian territory consists of very old geological structures and it is very eroded. The country has modest
altitudes, with 93% of Brazil’s territory at altitudes below 900 meters. Thus, Brazil does not have high mountain
ranges and the country’s highest peaks are in national parks9.
Special attention has been given in the country to conservation of Serra do Mar, a mountainous system that
extends from the state of Espírito Santo to the south of the state of Santa Catarina. Serra do Mar is home to the
9 On August 22, 2002, the Montanhas de Tumucumaque National Park was created by Presidential Decree, in northwestern Amapá, on the border with French Guyana. It has 3.8 million hectares of continuous and virtually untouched Amazon forest.
49
CHAPTER INATIONAL CIRCUMSTANCES
main remnants of the Atlantic Forest, which used to cover the entire eastern coast of Brazil, from the state of Rio
Grande do Norte to the state of Rio Grande do Sul.
The springs of water courses are characterized by being areas with high natural vulnerability, mainly because
they are, almost always, associated with rugged terrain and/or presence of shallow land. These characteristics
expose springs to a fragile condition against natural phenomena (caused due to weather or relief, or pedological
and geological phenomena) or anthropogenic actions.
The margins of water courses, floodplains and flood beds have great diversity in terms of species and are
the result of a natural phenomenon involving two periods: floods and ebbs. Usually these areas are covered by
riparian vegetation, when preserved; exception refers to wetlands that naturally present a grassy undergrowth
type; however in areas with intensive agricultural practices, the vegetation, even the one intended for riparian
cover, is degraded, with a reduced and fragmented vegetation cover, leading to the extinction of many animals,
imbalance in populations, etc. (AGOSTINHO et al., 1997).
Lakes, ponds and lagoons are extremely fragile, both in relation to contamination as volume commitment of its
water bodies and may even completely disappear.
Sedimentary aquifers, for example the Guarani Aquifer, are recharged by two mechanisms: a) direct infiltration
of rainwater in recharge areas; b) vertical infiltration along discontinuities in containment areas, which is a slower
process (ROCHA, 1996; GOMES, 2008). The areas of direct recharge are regions where the aquifer is most vulnerable.
Hence, the misuse of land in those areas compromises, in the medium and long terms, the quality of groundwater.
Therefore, the need for special handling for these areas is evident, so that the entire system, which includes
the areas of recharge and the aquifer itself (the confined part) can be managed sustainably. The sustainable
management depends on the identification and control of pollution sources in recharge areas (ROCHA, 1996).
Mangroves are a typical of coastal wetlands in tropical or subtropical climates and are considered one of the most
productive natural environments in Brazil, due to the large populations of shellfish, fish and mollusks that it shelters.
Mangroves are real nurseries, areas of protection, feeding and reproduction, and contribute to the survival of bird and
mammal species. Brazil has the world’s largest mangrove belt with about 20,000 square kilometers, extending from the
east (Cape Orange – state of Amapá ) to the south of the country (Laguna – state of Santa Catarina).
Sandbanks refer to a set of ecosystems of distinct vegetal-floral and physiognomy nature, located predominantly
in sandy soils, of marine, river, lagoon and wind origins, or combinations of these, of quaternary age, often with
poorly developed soils (CONSELHO NACIONAL DO MEIO AMBIENTE, 2002). These plant communities form an
edaphic and pioneering complex, which depends more on the soil than on climate, and are found in beaches, sand
ridges, dunes and associated depressions, as well as in plains and terraces.
It should be pointed out that because of these significant natural vulnerabilities there is a national effort to
include these fragile areas in the Brazilian legislation. It is noteworthy that since May 2012 a new Forest Law
has been in force in Brazil, Law No. 12,651, mostly known as “New Forest Code”, which establishes permanent
preservation areas (PPAs) in order to protect biodiversity and water resources. More details will be discussed in
Volume II of this Communication.
Given their natural vulnerability, combined to very sensitive social indicators, the susceptible areas prone to
desertification correspond to the semiarid and dry sub-humid regions, located mainly in the Northeast region and
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VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
in the north of the states of Minas Gerais and Espírito Santo. The predominant vegetation in these areas is typical
of ecosystems in the Caatinga biome, corresponding to a large part of the semiarid Northeastern Brazil.
The total area of degraded planted pasture and degraded lands (eroded, deserted and salinized) is over 2.3
million hectares, or 3.5% of the degraded lands in the country. In these areas, the woody vegetation cover serves
mainly for the production of firewood and charcoal for energy, stakes, poles, construction timber etc. Firewood
extraction is an economic activity of high capillarity and when it is not performed in a sustainable manner, it
threatens the continuity of the production of environmental goods and ecosystems services of the caatinga, which
are already quite disadvantaged by climate adversities (PAUPITZ, 2013).
Brazil’s semi-arid region is characterized by high evapotranspiration, periods of drought, shallow soil, high
salinity, low fertility and reduced capacity for water retention, which limits their production potential. Furthermore,
the desertification process is intensified by poverty, and vice-versa. The most alarming social indicators in the
country are seen in Brazil’s semi-arid region. The areas prone to desertification cover 1,340,172.60 km2, which
is equivalent to 16% of Brazil’s territory, concentrating nearly 34.8 million inhabitants (17% of the Brazilian
population) distributed in 1,488 municipalities (PAUPITZ, 2013). These numbers make this area the most populous
dry region in the world. The municipalities of the ASD fall entirely in the area of operation of Superintendence of
the Development of the Northeast (SUDENE).
The semiarid Northeastern Brazil, with 1 million km2, 20 million inhabitants, low and variables rainfall, high risk
for agricultural activity and very low technological level, gathers the worst social and economic indicators of the
country. The consequence has been slow, but continuous environmental degradation. The prevention and the fight
against this degradation is the object of the United Nations Convention to Combat Desertification, of which Brazil
is signatory. In this region the desertification is caused by a complex interaction of physical, biological, political,
social, cultural and economic factors, often closed in vicious cycles that often progress in stages: 1) Deforestation;
2) soil degradation; 3) reduction of production and agricultural income; and 4) deterioration of social conditions.
The erosion is the most serious cause of degradation of the semi-rid Northeastern Brazil, due to its irreversibility,
the great extent of shallow soils, intense downpours and agriculture in areas of high slope and without any
preventive measure (SAMPAIO, ARAÚJO and SAMPAIO, 2009).
Therefore, in Brazil, the process of desertification is a result of improper use of Caatinga forest resources, and
sometimes also the Cerrado Biome. Agricultural practices without proper soil management, indiscriminate use
of irrigation systems, with the consequent salinization and overgrazing in extensive farming, compromising the
regeneration of species, associated with the actions of deforestation, causing erosion and depletion of soil.
Data from the Ministry of the Environment (BRASIL, 2004b) indicate that an area of 181,000 km2 in the
semiarid region has been seriously affected by the process of desertification, with the generation of diffuse
impacts, covering different levels of degradation of soils, vegetation and water resources. The most critical
areas, with intense degradation of resources and generating considerable damage, called desertified cores,
were initially identified in four locations: Gilbues in the state of Piauí, Iraçuba in Ceará, Seridó, in the state of
Rio Grande do Norte and Cabrobó in Pernambuco, totaling 21.7 thousand km2 with a population of more than
444,000 inhabitants (Figure 1.9).
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CHAPTER INATIONAL CIRCUMSTANCES
FIGURE 1.9 Affected areas and desertification spots in the Northeast region of Brazil
Source: BRASIL (2007)
Some measures can be taken to prevent desertification in areas of risk and to recover affected areas. Brazil, as
provided for by the United Nations Convention to Combat Desertification, drew up the National Program to Combat
Desertification and Mitigate the Effects of Drought (PAN-Brasil). The program is a means of planning that aims at
setting the guidelines and the main actions for combating and preventing the desertification phenomenon in the
Brazilian regions with semiarid and sub-humid-dry climate. The PAN is guided by the development of programs
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VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
and actions outlined around four thematic axes, for the government’s great objectives of strategic guidance in
combating desertification. They are: reduction of poverty and inequality; sustainable increase of the region’s
productive capacity; conservation, preservation and sustainable management of natural resources; democratic
management and institutional strengthening. The latter aims at strengthening capacity-building and creating
new institutional structures to deal with the management of initiatives to fight desertification. The State Action
Programs to Fight Desertification (PAE) – guiding documents for the planning and development of integrated
actions and for the implementation of public and private investment in the states – were created to regionalize the
PAN-Brasil program and give greater capillarity to its actions. They were created for the following states: Alagoas,
Bahia, Ceará, Minas Gerais, Paraíba, Pernambuco, Piauí, Rio Grande do Norte, Sergipe and Maranhão.
Brazil also has the Early Warning System for Drought and Desertification (SAP). The system is the result of a
partnership between the Earth System Science Center (CCST), the National Institute for Space Research (INPE)
and the Ministry of the Environment, with the collaboration of the National Center for Monitoring and Alerting of
Natural Disasters (Cemaden).
For this end, a database containing geographic information on physical-environmental and socioeconomic status
is being developed, allowing the interaction of desertification indicators. Aiming at crossing information, Geology,
Geomorphology, Pedology data from various sources (CPRM, RadamBrasil, Embrapa/Recife) had to be adjusted to the
same scale of 1:500,000 and resolution (90m). The data of the Land Use and Cover sector were made on top of satellites
images, Landsat/TM and ETM7, year 2010, with a resolution of 30m. The interpretation scale was 1:150,000. However,
after completion of the mapping of land use and cover classes, the data was re-sampled for resolution of 90m and
1:500,000 scale. The geographic database has also been fed with socioeconomic and demographic information, at the
municipal level, such as: livestock density, outbreaks of hot spots, protected areas (full protection and sustainable use),
Human Development Index (HDI) and rural population density. These indicators were selected taking into account
their availability for the entire study area and the ability to capture and monitor the desertification process.
The methodology used for the development of the system is based on the methodology developed by MEDALUS
Project, which, due to the geo-environmental complexity of the Northeast Region of Brazil, had to be adapted to
meet local conditions. This methodology was validated at a regional scale and locations in countries like Italy,
Spain, Portugal and Greece, among others (BASSO et al., 2000; BRANDT, GEESON and IMESON, 2003; SALVATI et al.,
2011). The system includes four main variables: climate, soil, vegetation and land management (KOSMAS, KIRKBY
and GEESON, 1999; KOSMAS et al., 2006; LAVADO et al., 2009).
Preliminary results indicate that, of all the indicators used by the SAP, in the initial phase of the project
inadequate land management was one of the main factors for its degradation in the region.
In addition to the SAP, another important initiative by the Brazilian Government is the investment of R$
20 million in projects towards sustainable development and the conservation of biodiversity of the Caatinga,
fighting desertification, and recovery of degraded areas. Resources used come from the Climate Fund, the Brazilian
Biodiversity Fund (Funbio), the Socio-environmental Fund of Caixa Economica Federal (the Federal Savings and
Loans Bank), the National Project of Integrated Public-Private Actions for Biodiversity (Probio) (phase II) and the
United Nations Development Program (UNDP)10.
10 Portfolios available at http://www.mma.gov.br/biomas/caatinga
53
CHAPTER INATIONAL CIRCUMSTANCES
1.4. PRIORITIES FOR NATIONAL AND REGIONAL DEVELOPMENT
1.4.1. Social Development
The following subsections present the main recent advances in Brazil in terms of improvements in the
opportunities of access to the education system, health care, basic sanitation, and in the fight against hunger,
poverty and income inequality. Brazil has shown great performance, with international recognition, in combating
poverty and extreme poverty. The important factors for these results were improvements in working conditions
and household income and the impact of social programs, especially the Family Allowance Program (Bolsa
Família). These results combined have contributed to the reduction of income inequality, which, consequently, have
contributed to the reduction of poverty.
These improvements have resulted in significant progress in Brazil with respect to the human development
index. They are also reflected in the change in the Brazilian demographic profile, with lower fertility and birth rates,
and the aging of the population.
The analysis below is based on indicators on the living conditions of households, extracted from the National
Household Sample Survey (PNAD), as well as data and information compiled from the Fifth National Report of the
Millennium Monitoring Development Goals, by the Institute of Applied Economic Research (IPEA, 2014).
1.4.1.1. National Social Policies System
Since the end of the 1980s, new social concepts became part of the Brazilian public agenda and began to guide
the development of social policies in the country, especially the following:
>> Reinforcement of selectivity and focus – priority in the agenda, resources and social actions, programs for
the poor sectors, focusing expenses and actions on basic needs for the most vulnerable groups based on
age and spatial location;
>> Combination of universal and selective programs – differently from universalism versus selectivity, an
understanding seems to have grown in Brazil that public basic education and healthcare networks are
crucial and strategic both because of their services and because they can hold mass programs. This way,
focused programs would complement universal programs, with mutual support;
>> Minimum income programs – monetary transfers to guarantee minimum individual or family income levels
became part of a list of anti-poverty programs, especially through formulas that establish a link between
minimum income targets and targets for improving school and health performances for younger children;
>> Public-private partnership – greater acceptance of non-governmental organization participation in
offering social services, based on the understanding that, alone, the Government is unable to respond to
the huge challenge posed by poverty, which makes it necessary, therefore, to expand on initiatives by the
various organized segments of society to provide social services;
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VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
>> Expansion of production programs – in designing new programs, there is also growing concern for those
that may contribute towards reinforcing the capacity and productivity of poor segments in generating
income, such as training programs, support for micro and small enterprises and job creation;
>> Expansion of access to food programs – the purpose is to increase the supply of high nutritious foods and
to improve the living conditions of families living in situations of food insecurity. When designing these
programs, food and nutritional security are considered to be the guarantee of access to food on a daily
basis, in sufficient quantities and with the necessary quality;
>> Job and income generation programs – these are actions to generate jobs and income in a sustainable
manner for needy, vulnerable families, who benefit from social programs.
In this context, and with the intent of eliminating extreme poverty, in 2004 the Federal Government created
the Family Allowance Program (Programa Bolsa Família), with a view to guaranteeing the right to food, health,
education and achieving citizenship to the population most vulnerable to hunger. In this program, the government
transfers funds directly to the families and they assume the commitment to keep their children in school and to
monitor the health of children, adolescents and pregnant women.
The Cadastro Único (or Single Registry) is the main instrument for the management of the Bolsa Família Program and
a series of other social initiatives. The Federal Government identifies and qualifies the low-income families through this
computerized database. The Government also knows the socio-economic reality of these families, because the Cadastro
Único consolidates information for the entire family nucleus, the characteristics of the household, the forms of access to
essential public services, and also, information on each members of the family. From there, public authorities can formulate
and implement specific policies that contribute to the reduction of social vulnerabilities that low-income families are
exposed to. The Cadastro Único is coordinated by the Ministry of Social Development and Fight Against Hunger (MDS), and
must be used for selecting beneficiaries of Federal Government social programs, such as the Bolsa Família.
In recent years, the country has also began to implement a set of affirmative-action programs, aimed at, for
example, promoting greater access conditions for the black population to the higher education system. The
fight against racial educational inequality is a way to combat the Brazilian poverty because the blacks are over-
represented in this condition and their difficulty in finding better jobs is associated with their low level of education.
The Secretariat of Policies for the Promotion of Racial Equality (SEPPIR) was created in Brazil at the federal level,
the Statute of Racial Equality was approved.
Currently, the main social policies in place are those geared towards combating poverty and hunger;
universalization and educational qualification; job and income generation for the poorest; expansion and
improvement of health services; combating socioeconomic inequalities and those inequalities resulting from race
and gender. In summary, they are policies focused on improving the quality of life of Brazilians, especially those in
a situation of social vulnerability (IPEA, 2014).
The Brasil sem Miséria Plan, based on three strands of activity (Access to Services, Guarantee of Income, Productive
Inclusion), structures and adds a number of social policies and programs currently underway in Brazil. Its objective
is to raise the population’s income and well being. Subsequently, the Brasil sem Miséria Plan launched the Ação Brasil
Carinhoso, aimed at the most vulnerable parts of the Brazilian population, children aged zero to six years old, in the so-
called early childhood. The strategy of the Ação Brasil Carinhoso was designed to pull out of extreme poverty, by means
of income transfer, all households beneficiary of the Bolsa Família Program that had children aged up to 6 years.
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CHAPTER INATIONAL CIRCUMSTANCES
1.4.1.2. Human Development in Brazil
The Human Development Index (HDI) is a summary measure of human development in a country, used to
measure the progress achieved, on average, in terms of three basic dimensions: average life expectancy; access to
knowledge, based on adult literacy rates and the combined gross enrollment rate; and purchasing power parity –
PPP of GDP per capita, in U.S. dollars. Figure 1.10 shows the evolution of the HDI of Brazil in relation to the Latin
American and Caribbean countries in Latin America and the Caribbean and in South America between 1980 and
2012. It is worth pointing out that the Brazilian HDI approached considerably from that of Latin America and the
Caribbean during the 1990s, and maintains, since 2010, nearly the same average level of South America, below the
average of the former. Also worthy of note that Latin America and the Caribbean hold an average HDI superior only
to that of South Asia and the sub-Saharan Africa.
FIGURE 1.10 Evolution of the Human Development Index – Brazil, South America and Latin America and the Caribbean – 1980 a 2012
0.500
0.550
0.600
0.650
0.700
0.750
0.800
1980
1990
2000
2005
2007
2010
2011
2012
Average Latin America and CaribbeanBrazil Average - South America
Source: From PNUD (2013)
According to the 2013 Human Development Report, prepared by the United Nations Development Program,
Brazil fell by 10 positions compared to its position in the Report published in 2009, reaching the most recent
position of 85th, in the global ranking, being currently considered a country with high human development. Despite
the worsening of the relative position of Brazil in the classification, the report mentions that Brazil is on the list of
15 countries whose deficit achieved larger reductions in terms of HDI (PNUD, 2013).
In this context, the Institute of Applied Economic Research (IPEA) of Brazil addressed, in Statement No.
159, published in October 2013 (IPEA, 2013a), the detachment observed between the Gross Domestic Product
(GDP) calculated in the National Accounts and the income reported by the population in household surveys,
already pointed out in December 2012 by Neri (2012). The expansion of the discrepancy between these two
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VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
magnitudes in 2012 was surprising: while the Brazilian GDP grew by 0.9% in real terms, the total income of
the families, measured by micro data of more than 360,000 people interviewed across the country in the last
National Household Sample Survey (PNAD), grew by 8.9% more than inflation. Based on this information, new
data from the PNAD was compared with the historical series from 1992, in order to analyze two decades of
evolution of poverty and inequality according to the household income per capita, which serves as the basis
for social literature and the important public policies, which goes a long way toward meeting the following
parts of the Human Development Report 2013:
“As advocated in Human Development Reports in 1993 and 1996, the
relationship between growth and human development is not automatic. It must
be forged through policies in favor of the poor that, as a whole, contribute to
the investment in health and education [...].
[...]
The level of households, the increase in income, contributes to a greater
satisfaction of basic needs and to increase the level and quality of life. However,
higher income does not necessarily translate into a corresponding improvement
of human well-being.” (PNUD, 2013).
Thus, the study conducted by IPEA examined the evolution of the main indicators of income, possession of
durable goods and access to essential public services as well as the evolution of poverty and inequality to answer
how income, poverty and inequality of income of households evolved in the last two decades (Table 1.1).
TABLE 1.1 Annual variation rate of the indicators of income and consumption in selected time periods (%)
INDICATOR1990/2012 1992/2002 2002/2012 2011/2012
%GDP per capita 1.94 1.29 2.59 0.06
Family consumption per capita 2.44 1.73 3.15 2.23
Average income per capita 3.09 2.53 3.65 7.98
Mean per capita income 3.85 2.1 5.64 7.6
Minimum wage 2.49 -0.22 5.26 7.89
Pop. with basic set of goods (p.p)* 1.78 1.72 1.84 2.16
Pop. with basic set of services (p.p)** 0.93 1.06 0.81 0.98
Note: PNAD data excluding rural areas of the northern region (except Tocantins). Change rate of minimum salary calculated from October of the first year to October of last year.
Source: IPEA from PNADs of 1992, 2002, 2011 and 2012. System of National Accounts.
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CHAPTER INATIONAL CIRCUMSTANCES
Table 1.1 shows the variation rate of income in selected time periods. In the comparison of decades,
it was observed the period from 2002 to 2012 was particularly beneficial to the families: the per capita
household income increased by 3.6% per year against 2.5% in the previous decade, and similar results
were noticed in the per capita GDP and per capita consumption of households. The minimum wage, whose
purchasing power fell by 0.22% per year between 1992 and 2002, rose by 5.26% per year in addition to
inflation in the following decade, thus contributing to the increase in family income and to the fall in
inequality observed in this period.
The progress shown by PNAD is not restricted only to household income; in 2012, an expansion in the number
of people with access to essential public services and a combination of durable consumer goods (Figure 1.11)
were also observed. In the period from 1992 to 2012, the population that had access to essential public services
and basic durable goods increased by 0.9 percentage points per year, respectively. Both for the whole period and
for each decade, separately, the conclusion of the data from the PNAD is that the private conditions of the life of
the families – represented by both household income per capita and the possession of durable goods – progressed
further than the provision of essential public services by the State.
FIGURE 1.11 Possession of durable goods and access to essential public services, 1992-2012
Pop. with basic set of services (%)Pop. with basic set of goods (%)
70
60
50
40
30
20
0
10
2011
2012
1992
1993
1994*
1995
1996
1997
1998
1999
2000*
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010*
40.6
11.1
51.1
28.2
59.2
58.3
46.6
44.4
Notes: Basic set of goods = telephone (fixed or mobile), color TV, stove with two burners or more, refrigerator, radio and washing machine. Basic set of services = electricity + waste collection (direct or indirect) + sewage (general system or septic tank connected to the network) + water (general network). Excluding rural areas of the northern region (except Tocantins). Values 1994, 2000 and 2010 obtained by linear interpolation.
Source: IPEA (2013a)
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1.4.1.3. Evolution of poverty and income inequality in Brazil
In the beginning of the 1990s, Brazil had one of the highest degrees of inequality in the world, where the
average income of the richest 10% was almost thirtyfold greater than the average income of the poorest 40%
(BRASIL, 2004a). However, according to the study by IPEA (2013a), previously mentioned, while the poorest 10% of
the Brazilian population experienced a 14% increase in household per capita income, the income increase obtained
by the richest 10% was 8.3% between 2011 and 2012.
An analysis of the last two decades shows the poorest have been greatly benefited over the past 10 years: while
the average income of the poorest 40% increased by 6.4% per year, the annual increase to the richest 5% was
2.4%. This evolution was quite different from that which occurred in the previous decade: in the 1992-2002 period,
income growth of the richest 5% surpassed that of the poorest 40% (2.87% per year as against 2.55% respectively).
For a more complete perception on the evolution of income inequality, however, it is necessary to use synthetic
indicators – the most usual are the Gini index and the L Theil measure. Both are indexes that vary between zero and
one, where 0 (zero) is the case of a perfectly egalitarian society and 1 (one) is the case in which only one individual
receives all of society’s income. In other words, the higher the index, the greater the income inequality.
Figure 1.12 below shows the evolution of inequality in the 1992-2012 period. Besides the Gini and Theil-L indexes
(scale on left axis of the graph), the 20+/20- ratio (scale on right axis) is also shown, representing how much the richest
20% grabs out of the income share in relation to the poorest 20%. The higher this ratio; the greater the inequality would be.
FIGURE 1.12 Inequality indicators, 1992-2012
Theil-L 20+/20-Gini
0.69
0.67
0.65
0.63
0.61
0.59
0.57
0.55
0.53
0.49
0.51
35
30
25
20
15
10
5
0
2011
2012
1992
1993
1994*
1995
1996
1997
1998
1999
2000*
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010*
Gin
i, T
hei
l-L
20%
+/20
%-
26.00.634
0.580
24.7
0.587
0.5270.526
0.496
Note: Excluding rural areas of the northern region (except Tocantins). Values of 1994, 2000 and 2010 obtained by linear interpolation.
Source: IPEA, from micro data of the PNADs 1992-2012
The data show that, since 2002, the per capita household income inequality has been decreasing, despite one
of the indicators – the Gini index – has remained practically stable in the comparison between 2011 and 2012.
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CHAPTER INATIONAL CIRCUMSTANCES
Table 1.2 compares these indicators and the 10+/40- ratio at specific points of the last two decades. It is evident,
through the annual variations, the strength of the egalitarian process manifested in the 2002-2012 period, after a
decade of erratic movement as regards the evolution of inequality. While indicators such as the Gini index and the 10+/
40- ratio showed a consistent reduction in the last ten years, in the period before showed a small increase.
TABLE 1.2 Indicators of inequality for selected years
INDICATORVALUE ANNUAL VARIATION (%)
1992 2002 2012 1992/2002 2002/2012 2011/2012Gini 0.58 0.587 0.526 0.12 -1.09 -0.3
Theil-L 0.634 0.634 0.496 0 -2.42 -1.1
Ratio 20+/20- 26 24.7 16.8 -0.51 -3.78 -3.4
Ratio 10+/40- 5.3 5.5 3.8 0.37 -3.63 -1.4
Note: Excluding rural areas of the northern region (except Tocantins)
Source: IPEA (2013a)
With respect to poverty, Figure 1.13 shows its evolution in Brazil between the years of 1992 and 2012, measured
by the proportion of the poor. Four distinct poverty lines were considered: two of them relating to the targets of
the Millennium Development Goals (US$ 1.25 and US$ 2.00 per day, converted by purchasing power parity – PPP)
and the other two relating to the eligibility criteria for access to federal income transfer programs (R$ 70.00 and
R$ 140.00 monthly, adopted in July 2011, corrected by the National Consumer Price Index – INPC).
In 2012, Brazil had approximately 6 million people living in extreme poverty, or about 3.5% of the population,
according to the two extreme poverty criteria. Depending on the criterion adopted with respect to the poverty line,
conclusion is that Brazil had 10 or 15 million people living in poverty, or between 5.8% and 8.5% of its population,
respectively.
More important than the difference in figures is the trajectory of poverty in the last decade: since 2004, poverty
has been steadily decreasing, as a result of both an increase in household income per capita and the fall in inequality
observed in this period.
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VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
FIGURE 1.13 Evolution of poverty according to the proportion of poor people, 1992-2012
Poverty PPP$ 2.00 Poverty Poverty PPP$ 1.25 Extreme poverty
Per
cen
t o
f th
e p
op
ula
tio
n
40
35
30
25
20
15
5
10
2011
2012
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
Note: Excluding rural areas of the northern region (except Tocantins). Values of 1994, 2000 and 2010 obtained by linear interpolation.
Source: IPEA (2013a)
In the comparison between decades, the period of greatest poverty reduction occurred between 2002 and 2012:
under the international poverty line of US$ 1.25 PPP/day, the reduction in the number of people in extreme poverty
was 10.4% for the year, against 4.2% in the previous decade. In relation to poverty, the reduction was 12.1% per
year in the 2002-2012 period compared to a reduction of 2.1% in the previous period.
In observing the international poverty and extreme poverty lines of the Targets of Millennium Development
Goals (MDGs), of the United Nations, both have been falling significantly since 2002, and Brazil easily achieved the
goal in advance, in 2008. By its own will, Brazil fulfilled the commitment of a quarter of a century in just 6 years,
accumulating, by 2012, a decade after, a reduction of 69.29% in the extreme poverty line of US$ 1.25 PPP/day, and
74.8% if considered the line of US$ 2.00 PPP/day (Figures 1.14 e 1.15)11.
11 For the first MDG, extremely poor people living on less than US$ PPP 1.25 per day, or US$ PPP 38.00 per month, are considered. The so-called factors of Purchasing Power Parities (PPP) are a conversion rate, calculated by the World Bank, of how much Brazilian Reais are required to purchase the same products that one US dollar would buy in the United States. In 2012, the international extreme poverty line corresponded to R$ 2.36 per day, or R$ 71.75 per month in Brazil. The amount of R$ 70.00 corresponds to what most closely approximates the extreme poverty line, acting as a guideline for the Brasil sem Miséria Plan, for example, created in June 2011, and which became part of the Bolsa Família Program. As of June 2014, by means of Decree No. 8,232 of April 30, 2014, this amount was updated to R$ 77.00.
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CHAPTER INATIONAL CIRCUMSTANCES
FIGURE 1.14 Accumulated poverty variation since 2002 – US$ 1.25 PPP/day
FIGURE 1.15 Accumulated variation of poverty since 2002 – US$ 2.00 PPP/day
20%
10%
0%
-10%
-20%
-30%
-40%
-50%
-60%
-70%
-80%
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
6.47%
-13.75%
-28.54%
-40.24%
-46.42%
-57.90%
-58.22% -60.62%-63.01%
-69.29%
20%
10%
0%
-10%
-20%
-30%
-40%
-50%
-60%
-70%
-80%
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
1.53%
-12.83%
-26.43%
-39.65%-46.25%
-59.62%-59.19%
-63.88%-68.56%
-74.81%
Note: Excluding rural areas of the northern region (except Tocantins)
Source: IPEA, from micro data of PNADs 1992, 2002, 2011 and 2012.
Notes: Excluding rural areas in the North region (except Tocantins). Values of 1994, 2000 and 2010 obtained by linear interpolation
Source: IPEA (2013a)
Summing up, it should be emphasized that based on the data of 2012, Brazil was one of the countries that
contributed the most to the global achievement of the first target of the Millennium Development Goals (MDG):
to cut hunger and poverty to the extent that it succeeded in reducing extreme poverty to less than one-seventh of
the 1990 level. Furthermore, originally, the target agreed upon by the international community was to cut extreme
poverty and hunger to half of 1990’s level by 2015, but Brazil decided to establish more ambitious targets than
the global ones: to reduce extreme poverty to one fourth of 1990’s level and to eradicate hunger by 2015. Taking
into account the indicators chosen by the UN to monitor the first MDG target, Brazil’s international and domestic
targets were achieved in 2012.
As already highlighted, the reduction of income inequality was an important contribution to the fall of the
extreme poverty rate in Brazil. Seen in another way, there was a significant income transfer between the richest
20% of the Brazilian population to the intermediate layer in the distribution. In other words, the intermediate layer
received the most of the 8% share of the national income lost by the richest 20% from 1990 to 2012 (IPEA, 2014).
A look at the behavioral evolution of the rate drop of extreme poverty in Brazil, disaggregated by social groups,
reveals it has been (virtually) eradicated among the elderly. A broad set of social policies aimed at this group, such
as, for example, the expansion of the Continued Provision Benefit (Benefício de Prestação Continuada – BPC) or the
Rural Welfare, is responsible for the results achieved. In the case of children aged 0 to 6 years old, therefore, in the
range of early childhood, the rate of extreme poverty dropped from 21.3% in 1990 to 6.0% in 2012. With respect
to racial inequality, there was a reduction in the period. In 1990, the likelihood of blacks being extremely poor was
approximately three times higher than that of white people. In 2012, the probability of extreme poverty among
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VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
blacks was still twice the white population. This is explained by the fact that in spite of the improvement, there
is still a lot to move forward in the fight against racial inequality in Brazil, whose determinants reside mainly in
educational inequality.
Also worthy of note is the fact that, unlike in other countries, in Brazil there is no inequality in the rates of
extreme poverty among men and women (Figure 1.16). This does not mean, however, that asymmetric relations of
gender do not influence the extreme poverty experienced by women.
FIGURE 1.16 Evolution of the Brazilian extreme poverty rate as per socio-spatial breakdown
Extreme poverty rateR$ 70/month (%)
2011
2012
1992
1991
1990
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
50
45
40
35
30
25
20
15
10
5
0
men
women
whites
blacks
rural
urban
13.3
13.4
8.0
20.1
30.0
7.3
8.1
7.7
4.5
11.8
19.7
5.7
4.0
4.3
2.6
5.7
11.0
3.1
3.5
3.6
2.1
4.8
9.3
2.6
1990 2002 2011 2012
Source: IPEA (2014)
In rural areas, the decline in the rate of extreme poverty was more pronounced in the period, vis-a-vis the urban
area: 20.7 percentage points against 4.7. However, as the rural poverty is much more present than in the urban
environment, in 2012, the rate in rural areas (9.3%) were still higher than the urban environment rate (2.6%), as
shown in Figure 1.16.
Still in spatial terms, the Northeast region of Brazil is the area with the highest incidence of extreme poverty:
7.3% of the local population. But in the period under study (1990-2012), the rate left the initial level of 28.5%.
The Northeast is a region that will need special attention from public policies to adapt to global climate change
because it brings together social vulnerability to climate vulnerability. It is an area that currently has adverse climate
conditions and that may worsen, especially in its semiarid part, as informed by the Brazilian and international
climate forecast models. Climate change brings implications for agriculture in the region and consequently to the
food supply and food security and nutrition of families present in this territory (see Figure 1.17). The darker areas
of intense poverty correspond to municipalities located in the Northeast semiarid region.
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CHAPTER INATIONAL CIRCUMSTANCES
FIGURE 1.17 Distribution of the incidence of poverty in the Brazilian territory
Source: IPEA (2014) with data from the Ministry of Social Development and Fight against Hunger12
The resistance to the reduction of the Brazilian income inequality in the 1990s and its subsequent period of
sharp fall rose, in the past, investigations with respect to the determinants of this reduction. At the time, a study
by a renowned international specialist in inequality and poverty, in partnership with his colleagues (BARROS et al.,
2006), demonstrated the government income transfers accounted for one-third of the drop in the income inequality
observed in the 2001-2004 period, which proves the importance of this government initiative, strengthened in
2004 with the creation and gradual expansion of Bolsa Família Program (Figure 1.18) coverage. It is important to
note that government transfers did not only impact the income of families positively. Improvements in the labor
market, recovery of the minimum wage, better access conditions to jobs and worker productivity also contributed
to a higher income from work.12
12 Available at: http://mapas.ipea.gov.br
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FIGURE 1.18 Number of Brazilian families benefiting by the Bolsa Família Program (in millions)
number of recipient families
16
14
12
10
8
6
4
2
0
2004 2005 2006 2007 2008 2009 2010 2011
6.6
8.7
10.911
10.56 12.37
12.7813.35
Source: IPEA (2013b)
Since the 1990s, the inequality of labor income has been declining, but in the period under study (2001-2004)
a clear acceleration of this decline is observed. Had this labor income inequality fall not occurred in recent years,
the decline in income inequality would be 50% lower. The increase in worker productivity is an important factor
that explains the improvements observed in income inequality for the period.
An analysis of the evolution of productivity of Brazilian workers in the 1995-2012 period reveals that despite
years of negative changes, the trajectory is for growth, with an accentuation from 2007, when the increase in
productivity was at an average rate of 1.8% per year.
Another positive information about the labor market in this period is that the occupation rate for the working-
age group grew for the 20-64 years-old age group. In the age groups of 15-19 years-old and 65 years-old or more,
the occupation rate has fallen due to increased coverage of the social protection system for the elderly and the
increase of the level of education of young people, which now stay longer in school, delaying their inclusion in the
labor market.
Also, the level of formalization varied from 1992 to 2005 at around 46% of the occupied population. From that
moment on, it began to rise, achieving almost 58% in 2012. In general, workers with precarious or non-existent
employment relationships are the ones that remain in extreme poverty, so the improvement in the degree of
formalization in the country impacted positively to the reduction of poverty in Brazil.
However, the occupation rate of working-age women is not good; it is much lower than that observed for
men: 50.3% against 74.1% in 2012. It is observed that the more children per woman, the lower the occupation
rate will be. Women who are mothers of one or more children have an occupation rate of 43.1%. Women
with two or more children have an occupation rate of 30.0%. Initiatives such as the already-mentioned Brasil
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CHAPTER INATIONAL CIRCUMSTANCES
Carinhoso, that among a broad range of actions, created incentives for the municipalities to increase the
amount of vacancies in daycare centers and pre-schools, are relevant to increase the chances of mothers to
occupy posts in the labor market.
The educational advancements were one of the main social changes in Brazil in the past two decades.
Unlike in the past, the expansion of the access to education in the country promoted both the increase in the
average years in school and the reduction of educational inequality, which, in turn, had positive effects on the
reduction of income inequality in Brazil. Figure 1.19 below corroborates this assertion. In 1992, the Brazilian
workforce combined low schooling (average of 5.7 years in school) with great inequality (Gini coefficient of
0.435). Two decades later, the average rose to 8.8 years (54% growth) and the Gini fell (37%), achieving the
level of 0.274 (IPEA, 2013a).
FIGURE 1.19 Average and Gini index of years of schooling of the remunerated occupied population – Brazil, 1992/2012
1992
1994
1996
1998
2000
2002
2004
2006
2008
2010
2012
9 0.500
0.450
0.400
0.350
0.300
0.250
8
7
6
5
Ave
rag
e y
ears
of
sch
oo
ling
Gin
i In
dex
of
yea
rs o
f sc
ho
olin
g
Gini indexAverage
Note: The figure above includes data from rural areas of the Northern Region of Brazil (except Tocantis). Years of schooling vary between zero, for those who have never attended school, and 15, for those who completed the higher level. In Brazil, by definition, those who finished Elementary School have nine years of schooling and those who finished High School eleven years of schooling.
Source: IPEA (2013a)
An analysis of the evolution of the average schooling of Brazilian workers, as per the hundredths of work
income distribution, further reveals the positive quality of educational advances experienced in the country (Figure
1.20). Since 1992, educational improvement throughout income distribution, in particular among the poorest of
the poor, is perceived. In 1992, only the richest 15% had an average of more than eight years of schooling. In 2012,
only the poorest one third in the distribution was below this level of education.
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FIGURE 1.20 Average years of schooling by hundredths of work income - Brazil, 1992, 2002, 2012
15
14
12
13
11
10
9
8
7
6
5
4
3
2
1
01 100
2012 19922002
Av
er
ag
e y
ea
rs
of
sc
ho
oli
ng
Hundredths of income from work
Note: Including data from rural areas of the Northern Region of Brazil (except Tocantis).
Source: IPEA (2013a)
1.4.1.4. Profile of health care in BrazilThe objective of this section is to briefly introduce Brazil’s health profile, focusing on epidemiological
characteristics, the demand and supply of health services and expenses.
Infant mortality and mother’s health
Ahead of many countries, Brazil has already achieved the goal of reducing childhood mortality13, as agreed
with the Millennium Development Goals. The rate fell from 53.7 deaths per thousand live births, in 1990, to 17.7
in 2011. However, child mortality is still high. For this reason, a lot of emphasis has been given in Brazil to the
policies, programs and actions that contribute to the reduction of child mortality, such as, for example, the creation,
in 1981, of the National Program of Incentive to Breastfeeding and the joining, in 1992, to the Baby-Friendly
Hospital Initiative14, created by the United Nations Children’s Fund (UNICEF) and the World Health Organization
(WHO). From 1990 to 2011, there was also a reduction in regional inequality. The rate decreased in all regions of
13 Mortality rate among children aged under 5 years old. This rate expresses the frequency of deaths in this age group for every thousand live births, i.e., estimates the risk of death during the first five years of life.
14 The Baby-Friendly Hospital Initiative was conceived in 1990 by the WHO and UNICEF to promote, protect and support breastfeeding. The aim is to mobilize the staff of healthcare institutions to change behaviors and routines responsible for high rates of early weaning. Brazil currently has a network of 321 Baby-Friendly Hospitals, 212 human milk banks and 128 collection points.
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CHAPTER INATIONAL CIRCUMSTANCES
Brazil, with a more rapid pace in the Northeast (reduction by 76%, to an average of 6.6% per year). In 1990, the
mortality rate in the Northeast region was 2.5 times greater than that of the South, a difference that was reduced
to 1.6 times in 2011 (IPEA, 2014).
The child mortality rate in the country dropped from 47.1 deaths per thousand live births to 15.3 between 1990
and 2011. From 1990 to 2011, the differences between child mortality rates in the Northeast and South regions
began to gradually decrease. The index of the Northeast region, which was higher than 70 deaths of children aged
under 1 year old per thousand live births, decreased on average by 6.6% per year, reaching less than 20 deaths per
thousand live births in 2011 (IPEA, 2014).
Improvements in the health and social conditions, in addition to demographic changes, are responsible
for the better performance of the indicators of child mortality. However, the implementation of a system
of universal health care, the Unified Health System (SUS), after the Federal Constitution of 1988, and the
extension of the coverage of basic health care, mainly through the Family Health strategy, was also relevant.
The Family Health Program (PSF) is designed to provide continuous assistance in basic specialties to a
population attended by means of family health teams. This multiprofessional team, comprised of a doctor, a
nurse and community health agents, is responsible for basic actions of promotion, prevention, early diagnosis,
treatment and rehabilitation, typical of primary care. While in 1995 115 municipalities adopted the Family
Health strategy, in December 2013 it was already present in more than 95% of the Brazilian cities.
Prenatal care is an important factor for the reduction of child mortality and also mother mortality. From 1990
to 2011, mother mortality rate fell by 55%, from 141 deaths per one hundred thousand live births to 64. Moreover,
in 2011, 99% of childbirths were in hospitals or other health institutions, and around 90% of pregnant women have
four or more prenatal appointments.
Child malnutrition
Brazil achieved significant results in reducing the prevalence of child malnutrition in children aged
below 5 years old, which is an indicator of child health condition, but also hunger proxy. Between 1989 and
2006, the prevalence of child malnutrition, measured as weight below that expected for age, was reduced
to a quarter of its initial value: 7.1% to 1.8%, but this average masks some regional and social inequalities
(Figure 1.21). In 2006, while among the richest 20% this rate was 1.2%, between the poorest 20% it was
3.7%. A rate lower than 2.3% means that acute malnutrition can be considered statistically eradicated
among children (IPEA, 2014).
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FIGURE 1.21 Rate of child malnutrition in Brazil (in %) – weight below that expected for age
Center-West
South
Southeast
Northeast
North
1.5
1.7
1.9
1.4
1.4
2.2
6.3
3.2
5.4
3.6
Source: IPEA (2014)
The main factors that explain the improvements observed in Brazil regarding the indicators of child malnutrition
are: increase of maternal educational level, greater provision of basic health services, expanded access to safe
drinking water and sanitary sewage, and household growing purchasing power.
Demand and supply of health care services15
The demand for health services is associated with the level of development and the actual supply of these
services by health networks. Health care use rates grow according to income levels. Furthermore, it has been
ascertained that the higher the family income per capita, the higher the percentage of people who pay for the
health services used, which is close to 60% in classes with family income per capita greater than two monthly
minimum salaries.
In the past twenty years, the Unified Health System (SUS) progressed in expanding coverage, reducing
inequalities in the access to health services and in the process of decentralization of the Federal Government
responsibilities for the other states. The Federal Constitution of 1988 provided for the participation of the
private sector in the health care system. This participation is materialized in the provision to the SUS, for the
direct provision of services to the population and in assistance mediated by health insurance segment. Thus,
part of the Brazilian population has access to actions and to health services both with public and private
funding.
15 Portions of this section have been extracted almost entirely from the already quoted publication, “Social Policies: monitoring and analysis”, No. 21, published by the Institute of Applied Economic Research, in 2013.
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CHAPTER INATIONAL CIRCUMSTANCES
On October 24, 2011, the Ministry of Health released the new National Primary Care Policy (PNAB) with the
purpose of reviewing some guidelines and standards of the previous edition. The main changes were: the recognition
of other forms of organization of basic health care in addition to the Family Health strategy; the incorporation of
policies oriented to specific population groups; inclusion of strategies to promote physical activity; changes in the
financing system.
With these new measures, the PNAB recognized the multiplicity of forms of organization of Primary Care,
channeling the teams of doctors’ offices, creating health teams for riverside families (ESFR) and the river family
health teams (ESFF), which use fluvial units to assist the remote communities of the Amazon and the Pantanal in
the state of Mato Grosso do Sul. It also made investments for the creation of posts of the Health Academy (Academia
da Saúde), associated with the Health Academy Program (Programa Academia da Saúde), recognizing that physical
inactivity increases the risk of developing several chronic diseases and the risk of premature death. It is worth
pointing out that health promotion policies geared to encouraging physical activity are also incorporated into the
Health at Schools Program (PSE), which is an intersectoral policy of the ministries of Health and Education, created
in 2007.
The Stork Network (Rede Cegonha) was created in 2011 with the objective of reducing maternal and neonatal
mortality. The resources intended for the development of this network are employed in strengthening the
conventional hospital network, especially related to high-risk obstetrics, the creation of new structures of assistance,
such as the Natural Delivery Centers16, and the training of health professionals (IPEA, 2014).
Recently in Brazil, the service to the drug user has began to be recognized as a public health problem. Thus, the
Psychosocial Care Network (Rede de Atenção Psicossocial) started seeking a better integration of health care services
not only for the patients with mental disorders, but also to users of drugs and alcohol. In this case, the Psychosocial
Care Network includes basic healthcare services that are provided in the Basic Units and also services of mobile
teams of doctor’s practice, in addition to Home Care Services (SRT).
The rapid aging of the population (Figure 1.22), led to the need to intensify health surveillance, as a consequence
of the change in morbidity and mortality patterns in Brazil. There was an increase in the occurrence of chronic non-
communicable diseases, such as stroke, myocardial infarction, cancer, diabetes and respiratory diseases. In 2010, the
chronic non-communicable diseases accounted for 68% of deaths in the country. As an example and comparison
with the speed of the changes observed, resulting from the new Brazilian demographic profile, between 1998-
2008, there was a relative increase of almost 50% in the prevalence of diabetes in Brazil.
Among adults (20-59 years old), external causes have been the main causes of death. However, when adding
the figures for deaths by cancer (neoplasms) and diseases of the circulatory system, this set explains the greater
part of adult deaths, reflecting the early mortality from chronic diseases in Brazil. In the elderly population, the
non-communicable chronic diseases predominate as the cause of death, with an emphasis on diseases of the
circulatory system.
16 In Brazil, a factor that makes the reduction of maternal mortality difficult is the high number of cesarean births. In 2011, 54% of deliveries in health institutions in Brazil were c-sections. The World Health Organization recommends that the percentage of cesarean sections should not exceed the range between 5% and 15% of the total number of births.
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FIGURE 1.22 Relative composition of the total resident population by gender and age groups – Brazil (1960-2010)17
80+75-7970-7465-6960-6455-5950-5445-4940-4435-3930-3425-2920-2415-1910-14
5-90-4
Age
MenProportion (%)
Women
20101960
9.0 8.0 7.0 6.0 5.0 4.0 3.0 2.0 1.0 0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0
Source: Demographic Censuses 1960 to 2010- IBGE (IPEA, 2013b)
In order to meet the new demands for health services in Brazil, due to the change in morbidity and mortality
profiles of the Brazilian population, the Brazilian health system increased the number of institutions, despite the
decline seen recently in the number of beds. This movement was made to prioritize the guideline of decentralization,
regionalization and to local government of the National Health Policy.17
1.4.1.5. Access to sanitation services
The improvement of sanitation conditions in Brazil is an important factor that explains the improvements
observed in some health indicators described above. This section is a brief summary of the progress observed in
the recent period based on the statistics published by the 2010 and 2000 Demographic Censuses of IBGE.
In the period between the two censuses, the infrastructure of basic sanitation showed improvements in
the water supply by general network, the flow by general network and septic tank, and waste collection from
households. The less developed regions of the country showed significant growth in the period, although the
advances achieved in the provision of basic sanitation services have not been sufficient to reduce regional
disparities in access to appropriate conditions, especially if compared inhabitants of homes located in rural
areas to the ones in urban areas.
17 The combined effect of the fall in birth and fecundity rates, which in 2013 were at 13.82 (per 1,000 inhabitants) and 1.64 children, explains the change in the Brazilian demographic profile. In addition to the increase in life expectancy at birth to 74.23 years.
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CHAPTER INATIONAL CIRCUMSTANCES
Water supply
The provision of water supply by the general network is associated with better quality of life for residents in
permanent private households due to representing a higher degree of comfort and, in essence, a supply of better
quality water.
The growth of the water service supply by the public network occurred in all major regions of the country,
although unevenly (Figure 1.23). In 2010, the Southeast and South regions continued to be the ones that had
the greatest percentage of households connected to the water supply system (90.3% and 85.5%, respectively), in
contrast with the North and Northeast regions that, in spite of the progress, continued with the lowest rates (54.5%
and 76.6%, respectively).
FIGURE 1.23 Proportion of permanent private households with general network of water supply per major region of Brazil
Pro
po
rtio
n (%
)
Brazil North Northeast Southeast South Center-West
2000 2010
77.882.9
48.054.5
66.4
76.6
88.390.3
80.185.5
73.2
81.8
Source: Demographic Census 2000/2010 (IBGE, 2011)
In 2000, the coverage of urban areas that had over 90% of households connected to the supply network was
restricted to Southern and Southeastern regions. In 2010, it was also extended to the Northeast (90.5%) and
Central-west (90.0%). The expansion of the water supply network took place significantly toward the rural areas.
In the South region, the proportion of rural households with supply by public network rose from 18.2%, in 2000,
to 30.4%, in 2010. In the Northeast region, in the same period, the growth in the proportion of rural households
with supply by general network was even higher (18.7% and 34.9%, respectively). The North region, with the lowest
proportion of households connected to the water supply network in 2010 (54.5%), showed a proportional growth
in respect of year 2000 that was more accelerated in the rural area than in the urban zone: in the rural area there
was an increase by 7.9 percent, while in the urban area increase was 3.7 percent.
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VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
Sanitary sewage
Of all the sanitation conditions, the sewage system is the one that still has a long way to go on the road
of achieving satisfactory indexes that may ensure improvements in the living and health conditions of the
Brazilian population, as well as preserve the quality of the environment. In the course of the ten years in-between
Demographic Censuses, the proportion of households connected to the general sewage or septic tank network
increased in four out of the five major regions of the country. The North region appears as an exception, in which
the increase of 2.0 percent in the rural area was not enough to offset the 6.1 percent drop occurred in urban areas.
The Southeast region continued with the best sanitary sewage conditions, going from 82.3% coverage in 2000
to 86.5% in 2010, with the greatest concentration in urban homes in both periods. The South region followed
suit, going from 63.8% to 71.5% of households with proper sanitary sewage. The Central-west region showed the
greatest growth in households with general network or septic tank in the period: above 10 percent. In spite of the
improvement in sanitary sewerage conditions, the Central-west region still had a little over half of its homes with
adequate sanitation (51.5%) and the North and Northeast regions showed even lower levels (32.8% and 45.2%,
respectively). In these regions, rudimentary cesspits were the solution of sanitary sewage for both urban and rural
homes (Figure 1.24).
FIGURE 1.24 Proportion of permanent private households with general sewage and septic tank network per major regions in Brazil
2000 2010
Pro
po
rtio
n (%
)
Brazil North Northeast Southeast South Center-West
62.267.1
35.632.8
37.9
45.2
82.386.5
63.8
71.5
40.8
51.5
Source: Demographic Census 2000/2010 (IBGE, 2011)
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CHAPTER INATIONAL CIRCUMSTANCES
Garbage Collection
Just like the other sanitation services, garbage collection increased in the period between the Demographic
Censuses in all regions, reaching 2010 with broad coverage: the most comprehensive was in the Southeast region
(95%), followed by the South region (91.6%) and Central-west (89.7%). The North and Northeast regions, which
had lower coverage, were the ones that showed the highest growth in the period, an increase by 16.6 percent and
14.4 percent, respectively (Figure 1.25). In urban areas of all major regions, the garbage collection service from
households was above 90%, ranging from 93.6% in the North region to 99.3% in the South region. In the rural areas
of the country, collection was expanded in comparison to 2000, going from 13.3% to 26.9% in 2010.
FIGURE 1.25 Proportion of permanent private households with garbage collection in the major regions of Brazil
2000 2010
Pro
po
rtio
n (%
)
Brazil North Northeast Southeast South Center-West
79.0
87.4
57.7
74.3
60.6
75.0
90.395.0
83.6
91.6
81.7
89.7
Source: Demographic Census 2000/2010 (IBGE, 2011)
Electric energy
For the first time, IBGE includes the Demographic Census research on electricity supply for the population as
a whole, thus confirming the scope of this service to households in the country, showed both in the sample of the
2000 Census, as well as in household surveys of the decade.
In 2010, of all the services provided to households, electric energy was the one that presented the greatest
coverage (97.8%), mainly in the urban areas (99.1%), but also with a strong presence in the rural area (89.7%).
With the exception of the rural areas of the North Region, where only 61.5% of the households had electricity
supplied by distribution companies, the other major regions of the country, both urban and rural, had over
90% coverage, ranging from 90.5% in the rural areas of the Central-west to 99.5% in the urban areas of the
South region.
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The Brazilian Program for the Universalization of Access and Use of Electric Energy (Light for All – Luz para
Todos), established by Decree No. 4,873/2003, was a powerful boost for the expansion of electric energy in rural
areas. Created with the challenge of ending energy exclusion in Brazil, it set as goal to take free-of-charge access
to electricity to more than 15.3 million people in rural areas by November 2014.
1.4.2. Economy
The 1990s showed a low growth of the economy, including fall in the Gross Domestic Product (GDP) per capita
in its initial period. The first years of this decade were marked by high inflation, with double-digit average monthly
rates, which was not reverted until July 1994 with the adoption of the Real Plan, which created a new currency,
the real, and instituted a new monetary and exchange regime. The Federal Government simultaneously conducted
a successful de-indexation process of the economy with a view to eliminating the inflationary memory of the
economic players.
However, this new phase of Brazil’s economic history was not problem free. A series of external shocks placed
the sustainability of the Real Plan at risk, forcing the government to make use of monetary and exchange policies
to slow down domestic consumption and to raise the exchange rate (NEUTZLING, 2007).
In 1999, Brazil enters the floating exchange age, beginning to officially adopt the inflation goal system,
which consists of an institutional arrangement where the commitment to price stability is the monetary
policy’s main objective. The country thus abandoned strict control over evolution of the exchange rate, a policy
known as “exchange anchor” (âncora cambial) that was pursued during the first phase of the Real Plan.
GDP growth data for the past decade in Brazil are highly volatile, despite the growing dynamism of the economy.
From 2003, there has been a trend in GDP growth that greatly exceeds population growth. This trend is confirmed
when we examine more recent data published by the Central Bank, which reported that, for the 2000-2013 period,
while the average per capita GDP had an average annual growth of 1.97%, the national population grew at an
average annual rate of 1.14% (Table 1.3). Item 1.4 of the following section analyses some of the social effects such
dissociation.
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CHAPTER INATIONAL CIRCUMSTANCES
TABLE 1.3 Evolution of Brazilian GDP and per capita GDP
CURRENT PRICES IN R$
IN MILLION R$ OF THE PREVIOUS
YEAR
REAL PERCENTAGE
CHANGE
CURRENT PRICES IN MILLION
US$*
POPULATION PER
THOUSAND
PER CAPITA
CURRENT PRICES IN
R$
IN MILLION R$ OF THE PREVIOUS
YEAR
REAL PERCENTAGE
CHANGE
CURRENT PRICES IN MILLION
US$*2000 1,179,482,001,000 3,193,236 4.3 644,984 173,448 6,800 18,410 ... 3,719
2001 1,302,135,998,000 3,235,167 1.3 553,771 175,885 7,403 18,394 -0.09 3,148
2002 1,477,822,004,000 3,321,161 2.7 504,359 178,276 8,290 18,629 1.28 2,829
2003 1,699,947,998,000 3,359,242 1.1 553,603 180,619 9,412 18,598 -0.17 3,065
2004 1,941,497,999,000 3,551,131 5.7 663,783 182,911 10,614 19,414 4.39 3,629
2005 2,147,238,999,000 3,663,335 3.2 882,439 185,151 11,597 19,786 1.91 4,766
2006 2,369,484,000,000 3,808,295 4.0 1,088,767 187,335 12,648 20,329 2.74 5,812
2007 2,661,344,001,000 4,040,274 6.1 1,366,544 189,463 14,047 21,325 4.90 7,213
2008 3,032,203,004,000 4,249,221 5.2 1,650,897 191,532 15,831 22,185 4.04 8,619
2009 3,239,403,999,000 4,235,210 -0.3 1,625,636 193,544 16,737 21,882 -1.37 8,399
2010 3,770,084,872,000 4,554,277 7.5 2,143,921 195,498 19,285 23,296 6.46 10,966
2011 4,143,013,338,000 4,678,737 2.7 2,475,066 197,397 20,988 23,702 1.74 12,539
2012 4,392,093,997,000 4,726,976 1.0 2,247,285 199,242 22,044 23,725 0.10 11,279
2013 4,844,815,076,000 4,844,815 2.5 2,243,074 201,033 24,100 24,100 1.58 11,158
* Estimate of the Central Bank
Source: Central Bank, with data of IBGE
Nevertheless, an analysis of the recent period reveals that after presenting a 7.5% Gross Domestic Product
(GDP) growth between 2009 and 2010, the Brazilian economy began a slowdown phase as of the first quarter
of 2011. This slowdown initiated a great debate between economists and the general public about the causes
of this process. An explanation by the demand side attaches to it the monetary and tax contraction adopted by
the government in the first half of 2011, with a view to keeping inflation under control, after a period of strong
economic growth, and with it create conditions for the reduction of the basic rate of interest by means of a change
in the economic policy, where a greater fiscal rigor would allow the monetary authority to control inflation with
lower levels of interest rates. Another possible explanation for the slowdown of the Brazilian economy attributes
this phenomenon to factors of structural nature. More specifically, it is argued that, although there are reasons for
the cyclical nature to the deceleration of the economic growth (IBGE, 2013).
In 2008, shortly before the breaking of the global financial crisis, Brazil’s foreign trade continued to grow,
ranking it 22nd among the main global exporters and 24th among the main importers (DANTAS et al., 2009).
Data from the Ministry of Development, Industry and Foreign Trade (MDIC) indicate the growth of Brazilian
exports over time, with emphasis on the greater share of basic products, such as agricultural commodities (Figure
1.26). In 2013, the country obtained over 62% of its foreign currency international exports from the “raw materials
and intermediate products” category (Figure 1.27).
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VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
FIGURE 1.26 Evolution of Brazilian exports by aggregate factor
1964
19
6519
6619
6719
6819
6919
7019
7119
7219
7319
7419
7519
7619
7719
7819
7919
8019
8119
8219
8319
8419
8519
8619
8719
8819
8919
9019
9119
9219
9319
9419
9519
9619
9719
9819
9920
0020
0120
0220
0320
0420
0520
0620
0720
0820
0920
1020
1120
1220
13
140,000
140,000
100,000
80,000
60,000
40,000
20,000
0
Basic ManufacturedSemi-manufactured
US$
mill
ion
s
Source: MDIC18
1819
FIGURE 1.27 Distribution of Brazilian exports by category in 2013
2.0%7.2%
11.5%
16.6%62.7%
Raw materials and intermediate goods
Consumer goods
Capital goods
Fuel and lubricants
Special operations
Source: MDIC19
18 AliceWeb – Foreign Trade Information Analysis. Ministry of Development, Industry and Foreign Trade (MDIC). Available at: http://aliceweb.desenvolvimento.gov.br
19 AliceWeb – Foreign Trade Information Analysis. Ministry of Development, Industry and Foreign Trade (MDIC). Available at: http://aliceweb.desenvolvimento.gov.br
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CHAPTER INATIONAL CIRCUMSTANCES
Despite a relative decrease of the agriculture share in total Brazilian GDP (Table 1.4), mainly to the credit of the
services sector, agricultural production is still of extreme importance to the Brazilian economy and trade balance,
accounting for a good share of the 62% exports of “raw materials and intermediate goods” category mentioned
above. In addition, it has presented a superior performance against the other economic sectors. Between 2006 and
2013, agricultural productivity grew by 5% per year. By way of comparison, in the last decade, industry productivity
declined by 1% per year, and the service sector grew by 1% per year. The remarkable increase in agricultural
productivity can be observed when comparing the growth of cultivated area with production growth: since 2003,
the cultivated area increased by 13%, while production in the same period grew by 31%. This is illustrated, for
instance, in the culture of corn, which more than doubled its agricultural productivity in 20 years. In 1991, the
national average productivity was 1.8 tones per hectare and in 2011 it reached 4.2 tones per hectare (IBGE, 2013).20
TABLE 1.4 Participation of the economic sectors in the Brazilian Gross National Product
AGRIBUSINESS INDUSTRY SERVICES TOTAL
%1990 8.10 38.69 53.22 100
1991 7.79 36.16 56.05 100
1992 7.72 38.70 53.58 100
1993 7.56 41.61 50.83 100
1994 9.85 40.00 50.15 100
1995 5.77 27.53 66.70 100
1996 5.51 25.98 68.50 100
1997 5.40 26.13 68.47 100
1998 5.52 25.66 68.82 100
1999 5.47 25.95 68.58 100
2000 5.60 27.73 66.67 100
2001 5.97 26.92 67.10 100
2002 6.62 27.05 66.33 100
2003 7.39 27.85 64.77 100
2004 6.91 30.11 62.97 100
2005 5.71 29.27 65.02 100
2006 5.48 28.75 65.76 100
2007 5.56 27.81 66.63 100
2008 5.91 27.90 66.18 100
2009 5.63 26.83 67.54 100
2010 5.30 28.07 66.63 100
2011 5.46 27.53 67.01 100
2012 5.32 26.02 68.66 100
2013 5.71 24.98 69.32 100
Source: Data from IPEA20
20 Available at: www.ipeadata.gov.br
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VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
Brazil continues to be the world’s largest producer of orange juice, coffee and sugar. It also ranks first in the
world in terms of the exportation of orange juice, sugar, soy, coffee, and corn. It should be noted that crops of soy
and maize cultivations alone concentrate 90% of the total planted area in the country.
In the agriculture and livestock sector, animal production growth stands out, and it should be noted that since
2008, Brazil has been the world’s largest beef exporter. According to the Ministry of Agriculture, Livestock and
Supply (MAPA), the statistics also predict growth for the coming years. Beef exports will grow by 2.15% per year,
while poultry will grow by 3.64%.
In 2012, Brazil’s main herd was that of cattle, with 211.2 million head; followed by the swineherd, with 38.7
million head. The total number of hens, roosters, broilers, and chicks reached 1 billion. The country also had 16.7
million sheep and 8.6 million goats (IBGE, 2012). The Central-west region of the country alone concentrates 34.3%
all the Brazilian bovine cattle.
A series of factors ensured the achievements of the agriculture sector in Brazil over recent years: abundant
natural resources (soil, water and sunlight); product diversity; and a relatively favorable exchange rate until 2006;
increasing demand from Asian countries; and growth in agricultural productivity. The Brazilian Agricultural Research
Corporation (Embrapa) has been contributing significantly to the increase in agricultural productivity in the country,
by means of research, development, innovation and technology transfer. It is a team of 2,444 researchers, 84% with
doctoral or post-doctoral studies at universities in Brazil and abroad, and 47 Decentralized Units, besides 16 offices
from North to South. It is a national and international reference in agricultural research.
In summary, the macroeconomic data from Brazil and its trade balance characterize it as an urban-industrial
country anchored in world capitalism by exporting agricultural commodities.
1.5. SUMMARY OF NATIONAL CIRCUMSTANCES Brazil is a country of great territorial extension and high social and spatial inequality. However, the government has
worked to increase the opportunities for access to education and health services through decentralization measures
and regionalization of the network assistance, in addition to focusing social programs on the poorest population, which
occurs in parallel to the challenge of universalizing programs. This led to a number of improvements in the recent
period, some of which received international acknowlegment, such as the sharp drop in poverty and extreme poverty
rates, which was strongly influenced by the reduction in family income inequality. In addition to other measures that
placed Brazil in the condition of compliance with a great amount of the Millennium Development Goals even before
the agreed period (Table 1.5).
Through the Bolsa Família Program and Brasil sem Miséria Plan, the Federal Government framed a set of actions
for the promotion of food and nutrition security in the short term, however, without neglecting the supply of other
actions that have a high potential to eliminate, in the medium term, conditions that lead to the reproduction of the
poverty vicious cycle for generations.
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CHAPTER INATIONAL CIRCUMSTANCES
For the country as a whole, the last two decades have been marked by improvements in the quality of life of
the Brazilian population, as summarized and shown by two synthetic indexes about the level of social welfare and
human development (Figures 1.28 e 1.29).
FIGURE 1.28 Evolution of the Human Development Index of Brazil and its Sub-indexes
FIGURE 1.29 Evolution of the social well being index prepared by IPEA to Brazil 21
1.000
0.900
0.800
0.700
0.600
0.500
0.400
0.300
0.200
0.100
0.000
MHDI MHDI Education
MHDI Income
MHDI Life expectancy
0.4930.6120.727
0.279
0.456
0.637
0.6470.6920.739
0.662 0.727 0.816
1991 2000 2010 2011
2012
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
199.14
198.64 223.47248.53
251.83
251.45
255.27
244.58
245.89
247.19
251.50
240.44
247.96
255.61 272.91303.14 316.07 337.99 350.29381.61 41
3.32
Note: MDHI – Municipal Human Development IndexSource: PNUD (2013)
Note: Excluding rural areas of the northern region (except Tocantins). Values of 1994, 2000 and 2010 obtained by linear interpolation.
Source: IPEA (2013a)
The Brazilian population vulnerability to climate risk is a situation that depends not only on the expected climate
change, but also on the adaptation conditions of families, which are closely related to their social vulnerability
conditions. Furthermore, a proper management of natural resources and ecosystems is a way to increase local
resiliency. 21
21 Built from a simple function of social welfare proposed by Amartya Sen (1992). This function multiplies the average income by the measure of fairness, given by 1 minus the Gini index, that is, Average * (1 - Gini). Therefore, inequality acts as a reducing factor of well-being in relation to the level of average income.
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TABLE 1.5 Summary of National Circumstances
INDICATORS 1990 1995 2001 2005 2012Gross Domestic Product (million R$ in 2013) 2,486,827 2,892,519 3,235,167 3,663,335 4,726,976
Agriculture’s share of GDP (in % of the GDP) 8.1 5.77 5.97 5.71 5.32
Industry’s share of GDP (in % of the GDP) 38.7 27.5 26.9 29.3 26
Services’ share of GDP (in % of the GDP) 53.2 66.7 67.1 65 68.7
Percentage of the population living with less than US$ PPP 1.25/day 25.5 16.4 14 8 3.5
Percentage of occupied population living with less than US$ PPP 1.25/day ND 11.2 8.5 4.8 1.3
Gini Index 0.612 0.599 0.594 0.566 0.526
Net schooling rate in the elementary education – population aged 7 to 14 years old (%) 81.2 86.5 94.4 95.8 97.7
Net schooling rate in high school – population aged 15 to 17 years old (%) 16.9 23.7 39.2 48.9 57.9
Net schooling rate in higher education – population aged 18 to 24 years old (%) 5.3 6 9.2 11.7 16.1
Schooling rate – population aged 0 to 6 years old (%) ND 29.6 37 42.7 51.4
Literacy rate of the population aged 15 to 24 years old (%) 90.3 92.8 95.7 97.1 98.7
Child mortality 53.7 40.2 28.7 23.7 17.7*
Infant mortality 47.1 35.1 24.9 20.4 15.3*
Proportion of the population with access to drinking water 70.1 74.4 79.6 81.8 85.5
Proportion of the population with access to sanitary sewage 53 56.9 64.2 67.8 77
Percentage of urban population living in inadequate housing ND 52.4 47.6 43.4 36.6
Source: For social indicators: V National Monitoring Report on the Millennium Development Goals. For economic indicators: Ipeadata Database22 and Time Series Management System of the Central Bank of Brazil23
2223
22 Available at: http://www.ipeadata.gov.br23 Available at: http://www3.bcb.gov.br/sgspub/localizarseries/localizarSeries.do? method=prepararTelaLocalizarSeries
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CHAPTER INATIONAL CIRCUMSTANCES
CHAPTER II OTHER INFORMATION
CONSIDERED RELEVANT TO THE ACHIEVEMENT OF
THE OBJECTIVE OF THE CONVENTION
84
CHAPTER II OTHER INFORMATION CONSIDERED RELEVANT TO THE ACHIEVEMENT OF THE OBJECTIVE OF THE CONVENTION
2.1. EDUCATION, TRAINING AND PUBLIC AWARENESS In compliance with Article 4, paragraph 1, item (i) of the Convention, “All Parties, taking into account their
common but differentiated responsibilities and their specific national and regional development priorities,
objectives and circumstances, shall promote and cooperate in education, training and public awareness related
to climate change and encourage the widest participation in this process, including that of non-governmental
organizations”.
Since having hosted the Earth Summit in 1992 and the United Nations Conference on Sustainable Development
(Rio+20) in 2012, Brazilian citizens have been more exposed to issues related to climate change. However, in
general, the majority of the population still does not have more specific information about climate change or the
Convention, although the media has increasingly been addressing the subject. Nevertheless, the global climate
change is recognized as being a technical and complex issue, difficult to be understood by lay persons and therefore
requires efforts to translate the scientific knowledge into a more accessible language, which is important for the
social mobilization around the theme.
Despite these difficulties, education, public awareness and training on issues related to climate change have
been expanding. The Brazilian civil society has also been called to join participatory preparation processes of plans,
programs and instruments of the National Policy on Climate Change, in line with the democratic principles of the
country and for social mobilization to deal with climate change in Brazil.
The Brazilian Internet site on climate change of the Ministry of Science, Technology and Innovation has
contributed towards an increase in public awareness on the matter, as it provides information about the entire
negotiation process under the Convention, the main references about climate science and the preparation of
the National Communication. Also, publications in Portuguese (such as the official version of the Convention
and Kyoto Protocol), articles from newspapers, magazines and journals, radio and TV shows, as well as the
organization of seminars and debates, have helped in generating awareness of an issue that was relatively
unknown in the country.
The Brazilian Climate Change Forum (FBMC) (item 2.1.2) aims at promoting awareness and engagement of the
society regarding the issue of global climate change. The publication of the Reports of its three Working Groups by
the Brazilian Panel on Climate Change (PBMC), also contributes to briefly circulate information in a less technical
85
language about the state-of-the-art of the scientific basis of climate change in Brazil and necessary efforts to be
undertaken for adaptation and mitigation24.
The work done by non-governmental organizations operating in Brazil which, through their activities, mobilize
the Brazilian society for taking actions toward the transition to a low-carbon economy are added to the government
efforts to propagate information and public awareness on the issue of climate change.
Some organizations promote campaigns, support and manage projects and programs, but the interesting cases
are the creation of observatories, such as the Climate Observatory, the Observatory of Public Policies on Climate
Change of the Climate Forum Group, the Low Carbon Agriculture Observatory and the REDD Observatory25.
2.1.1. Awareness in Brazil about Climate Change Related Issues
To build an official Brazilian site on climate change, a project initiated in September 1995, when the Internet was
still incipient in Brazil, was a pioneer and innovative idea that has collaborated significantly with the development
of the National Communications of Brazil and contributed towards enhancing public awareness on the subject
in the country. CGMC/MCT’s website26 thus constitutes an important tool for implementing Brazil’s commitments
undertaken under the Convention.
The website reflects the entire National Communication preparation process, while gathering and providing all
information generated by the various institutions and specialists involved in preparing greenhouse gas inventories
and other documents.
Furthermore, the country runs its quality control and assurance program of results generated through the
elaboration of National Communications through its website, especially through public consultations on each
document produced to feed into the National Communications, ensuring transparency and allowing the participation
of specialists not directly involved in the process but who want to make comments or recommendations.
Thus, Brazil’s global climate change website has strengthened the coordination unit’s capacity and helped
decentralize preparation of the National Communications, permitting complete involvement of all relevant
institutions regardless of its location.
2.1.1.1. The National Emissions Registry System (SIRENE)For the purposes of providing perenniality and accessibility to the results of the National Anthropogenic Emissions
Inventory by sources and removals by sinks of greenhouse gases not controlled by the Montreal Protocol, the Ministry
of Science, Technology and Innovation (MCTI) developed the National Emissions Registry System (SIRENE).
24 Just like the structure of the Working Groups of the Intergovernmental Panel on Climate Change (IPCC), the PBMC is organized in: Working Group 1 – assesses the scientific bases of the climate system and its changes; Working Group 2 – assesses the vulnerabilities of natural and socioeconomic systems, the positive and negative consequences of global climate change and options for adaptation; Working Group 3 – assesses the options for mitigation in relation to global climate change.
25 Available at: www.oc.org.br; www.forumempresarialpeloclima.org.br/observatorio-de-politicas-publicas-de-mudancas-climaticas; observatorioabc.com.br; observatoriodoredd.org.br, respectivelly.
26 Available at: http://www.mcti.gov.br/clima
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VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
SIRENE aims at providing support to decision-making on policies, plans, programs and projects in the area of
climate change, particularly the adoption of mitigation measures.
The results of emissions of all greenhouse gases not controlled by the Montreal Protocol (CO2, CH4, N2O, CF4,
C2F6, HFC-23, HFC125, HFC134a, HFC143a, HFC152a, SF6, CO, NOx and NMVOC) are presented for the following
sectors: Waste Treatment, Agriculture, Land Use, Land-Use Change and Forestry, Energy and Industrial Processes. In
this sense, SIRENE allows access to the time series of emissions related to recent findings published in the National
Inventory as part of the Third National Communication of Brazil to the United Nations Framework Convention on
Climate Change or Biennial Update Report, whose graphics and tables can be exported.
2.1.2. Brazilian Climate Change Forum
The Brazilian Climate Change Forum (FBMC)27, chaired by the President of the Republic, was created in 2000,
with the objective of including the organized civil society in discussions related to global climate change, as
well as educating and mobilizing society to debate and make a stand on problems resulting from global climate
change and regarding the Clean Development Mechanism (CDM). The FBMC should also assist the government in
incorporating global climate change issues in the various levels of public policies.
The Forum has the participation of the Ministers as well as civil society personalities and representatives,
appointed by the President of the Republic due to their renowned expertise or relevant knowledge on climate
change.
The FBMC has contributed in a significant manner towards developing the National Climate Change Plan
and the National Climate Change Policy, Sectoral Plans of Mitigation and Adaptation to Climate Change and
National Adaptation Policy (PNA), coordinating public hearings and sectoral meetings with representatives of the
organized civil society, businesses, universities and subnational governments. These meetings result in significant
contributions to the participatory process of drawing up plans and policies, being instruments to raise social
awareness and to mobilize society around the issue of global climate change in Brazil.
One of the Forum’s attributions is to encourage the creation of state climate change fora at state level, and hold
public hearings in diverse regions of the country. State fora are an important means of raising society’s awareness
and mobilization at the state level to discuss global climate change. At present, 17 Brazilian states have their own
state climate change forum: Bahia, Ceará, Espírito Santo, Mato Grosso, Minas Gerais, Pará, Paraná, Pernambuco,
Piauí, Rio de Janei ro, Rio Grande do Sul, Santa Catarina, São Paulo, Maranhão, Amazonas, Rondônia and Tocantins.
Some cities in Brazil have also been committed to take mitigation and adaptation actions at the local level
and, with this purpose, created governance instances for the initiatives. For example, in the city of São Paulo, a
Municipal Committee on Climate and Economics Changes was created. In Belo Horizonte, in the state of Minas
Gerais, the Municipal Committee on Climate Change and Ecoefficiency was created. In Recife (PE) the Committee
on Sustainability and Climate Change was created. In Rio de Janeiro (RJ), the Municipal Secretariat of Environment
created the Climate Change and Sustainable Development Management.
27 See : http://www.forumclima.org.br.
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CHAPTER IIOTHER INFORMATION CONSIDERED RELEVANT TO THE ACHIEVEMENT OF THE
OBJECTIVE OF THE CONVENTION
It is worth noting that recently, in September 2014, the mayor of the city of Rio de Janeiro announced at the
Climate Summit, in New York, the Compact of Mayors28 – the world’s largest initiative involving cities in the fight
against climate change. The Compact gathers the main cities networks dealing with sustainable policies, bringing
together almost half a billion people in 228 cities. In addition to the C4029, chaired by the mayor and integrating
the 69 largest cities in the world, the Compact of Mayors also includes members of the ICLEI and UCLG, respectively
Local Governments for Sustainability and the Union of Cities and Local Governments, with the support of the
United Nations Organization on urban issues (UN Habitat).
In the Compact, the signatory cities publicly commit to significantly reduce greenhouse gas emissions; to make
goals and strategic plans public; and to annually report their progress through a standardized measurement system.
2.1.3. Education Programs on the Conservation of Electric Energy and
Rational Use of Oil and Natural Gas By-Products
In Brazil, educational programs on conservation and rational use of energy basically refer to two aspects of
national programs (which will be discussed in more detail in Volume II of this Communication), which are: Procel
at Schools, of the National Electric Energy Conservation Program (Procel) and the Conpet at School, of the Program
for the National Rationalization of the Use of Petroleum and Natural Gas By-Products (Conpet).
Procel at Schools is a project developed by the National Program for Electric Energy Conservation (Procel),
directed at children and adolescents through educational institutions. It promotes the construction of knowledge
in energy efficiency, disseminating information and providing educational resources to formal education systems
in the country, so as to enable the Brazilian citizen with means to develop skills, attitudes and values necessary
for the efficient use of energy. The actions developed by the project are based on strategies that are coordinated
with secretariats of education, technical schools and universities, involving the various educational levels and
teaching methods.
The Guidelines for Procel at School project actions, signed in 1993 as a Technical Cooperation Agreement
between the Ministry of Mines and Energy (MME) and the Ministry of Education (MEC), decided to:
>> train elementary and high school teachers to work with their students on aspects of electricity waste,
including the National Service for Industrial Apprenticeship (SENAI) and the National Service for
Commercial Apprenticeship (SENAC);
>> develop pedagogical and didactic materials on energy to be distributed free-of-charge to teachers and
students;
>> establish a means to involve students from high school level technical schools and higher learning
institutions, in the sense of using technological resources to combat energy waste and to create a change
in habit regarding its use.
28 Available at : www.un.org/climatechange/summit/wp-contend/uploads/sites/2/2014/9/CITIES-Mayors-compact.pdf 29 The C40 Cities Climate Leadership Group is a network formed by mega cities of the world committed to climate change. The idea is that these
cities, by acting locally, may confront climate change globally. In practice, the C40 group promotes the access of the municipal governments to the technical team that makes available knowledge and practices in various areas against climate change, to be implemented by the management of the cities. The network has the participation of the cities of Curitiba, Rio de Janeiro and São Paulo.
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VOLUME ITHIRD NATIONAL COMMUNICATION OF BRAZIL
Through a partnership with the MME and MEC, Procel at Schools strives to enable the action of basic education
teachers (nursery, elementary and high schools) as multipliers/attitude advisers to combat electric energy waste
with their students.
Procel in Basic Education is an interdisciplinary project by Eletrobras/Procel and the country’s electric energy
utilities. It acts in the education area, within the crosscutting theme of the environment, involving teachers from
all subjects given at the schools. In order to successfully impart the information, the communication channel is
Environmental Education.
Operationalization of Procel for Basic Education is up to the electric energy utilities, which receive specific
training for the work, and then establish an institutional relationship with the education area for implementing
the project. Schools should contact their supreme body to participate in the project through the local electric
energy utility.
In 2013, R$ 478.6 thousand was invested in Procel in Schools, benefiting 70,000 students of public schools,
2,000 teachers and 600 schools. Since 1995, this sub-program has already benefited 25 million students in
Basic Education30. Under the Procel at Schools is also the “Procel in Higher Education Institutions”, which aims
at disseminating “Conservation and the Efficient Use of Energy” among undergraduate Engineering programs in
various Brazilian higher education institutions.
The Conpet at Schools Program was created in 1992 through a partnership between the MME and the MEC.
Just like the Procel, its primary objective is to integrate and motivate teachers to act as awareness-raising
agents and trend-setters for habits and attitudes, not only for their students, but also for their own school
and community regarding issues relating to energy, society and the conservation of natural resources and
the environment. It is understood that this is the most effective and permanent way of raising the awareness
of the Brazilian society over the mid-term regarding the concern for the efficient use of oil and natural gas
products. The project involves educators/students from 6th to 9th grades of public and private elementary
schools as well technical courses.
In addition to the assessments, educational actions on the rational use and handling of diesel oil are promoted
to drivers and businessmen of the sector. The Conpet in Transport assists companies and drivers who participate
in the program voluntarily in order to reduce the operating costs with fuel and to meet the resolutions of the
environmental agencies.
The educational actions of Conpet in Transport are carried out through partnerships with state and local
governments and entities in the transport sector. With the latter, the program also carries out initiatives and studies
for the evaluation of technologies for the efficient transport of passengers including new vehicles, engines, fuels
and exclusive lanes.
30 Data extracted from www.procelinfo.com.br
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CHAPTER IIOTHER INFORMATION CONSIDERED RELEVANT TO THE ACHIEVEMENT OF THE
OBJECTIVE OF THE CONVENTION
2.1.4. Participation of the civil society in preparing the intended
nationally determined contribution to the new agreement under
the United Nations Framework Convention on Climate Change
In the context of negotiations under the United Nations Framework Convention on Climate Change (UNFCCC)
which led to the Paris Agreement the 19th Conference of the Parties to the UNFCCC (COP-19, held in Warsaw,
Poland), Parties were invited to initiate or intensify domestic preparations of their “intended nationally determined
contributions” (iNDC) to the new agreement and notify them before COP-21.
The iNDC represent the intended contribution of each country to the global effort to combat climate change
and will play a central role in the implementation of the new agreement under the Convention.
The Brazilian Government considered it essential that the contributions to the new agreement had the support
of various sectors and segments of the civil society, in order to broaden the legitimacy and the degree of ambition
in the negotiations. In this sense, with the objective of supporting the preparation of Brazil’s iNDC, the Ministry of
Foreign Affairs (MRE in Portuguese acronym) coordinated a consultation with the Brazilian civil society in order
to increase the transparency of the national preparation process and provide an opportunity to all sectors and
interested segments to participate and express their opinions.
The consultation with the Brazilian society was carried out in two phases. The first was through online contributions
to issues suggested for debate in the form of a guiding questionnaire. The objective of the questionnaire was to focus on
key aspects for the future development of the iNDC. For the second phase, the contributions received in the first phase
were consolidated into a Preliminary Report prepared and released online. In this second phase, the preliminary findings
of the report were submitted to a new round of consultations, by comments submitted electronically and during meetings
for further consideration of the Preliminary Report. The final report was published on the Ministry of Foreign Affairs
webpage31. The publishing of this document represented a significant step forward towards the Federal Government’s
decision-making process on Brazil’s contribution in the negotiations of the new agreement under the Convention.
2.2. CAPACITY BUILDING This chapter describes initiatives of excellence, undertaken through institutes and Brazilian research groups that
are contributing to the advancement of the scientific basis on climate change in the country. These are advances to fill
scientific gaps and in methodological improvements, thus enabling the production of climate modeling results and the
impacts and vulnerabilities to climate risk and mitigation options, with less uncertainty and greater robustness. Therefore,
they represent the national and regional capacity building for the promotion of adaptation and mitigation actions.
The initiatives listed below share some characteristics: the relation with the government, aiming at contributing to
the effectiveness of the policy on climate change in Brazil; the networking work, sometimes at the international level; and
the multi-sectoral and interdisciplinary perspective approach that the scientific knowledge on climate change requires.
31 To access the final report of the consultation of the civil society refer to: http://diplomaciapublica.itamaraty.gov.br/consulta-clima/133-negociacoes-na-unfccc-relatorio-final-da-consulta-a-sociedade-civil-brasileira
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2.2.1. Inter-American Institute for Global Change Research (IAI)
The Inter-American Institute for Global Change Research (IAI)32 is an intergovernmental organization created
in 1992 and composed of 19 American countries 33. IAI is guided by principles of scientific excellence, international
cooperation and ample exchange of scientific data, aimed at improving the understanding of global climate change
and its socioeconomic impacts.
Recognizing the need to better understand the natural and social processes that govern the environmental
change on a large scale, the IAI encourages the exchange between scientists and public managers. With that, the
IAI aims at increasing the scientific capacity in the region and, at the same time, provide useful information to
decision makers. The surveys are usually carried out by means of comparative studies and with the participation of
researchers from several countries in each project. The IAI has several research programs and Brazil has exercised
a strong representation of projects.
In summary, the mission of the IAI is to develop the capacity to understand the integrated impacts of past,
present and future global change under the regional and continental environments of the Americas and promote
collaborative and well informed activities at all levels.
IAI work is developed through four basic actions:
>> contribute towards advancing the continent’s scientific knowledge, whether through research, education
or transfer of technology, complying with a scientific agenda with well-defined priorities;
>> support the international Conventions and Protocols contributing towards elucidating scientific issues
and their political implications related to these instruments, supporting national interests;
>> support broad international cooperation, contributing towards international programs on global changes,
promoting information policies that ensure free access to data; and
>> support the interests of IAI member countries and provide scientific information that serves the interests
of federal, state and local governments, private and public sectors in general.
2.2.2. Intergovernmental Panel on Climate Change (IPCC)
The IPCC was created in 1988 by the World Meteorological Organization (WMO) and the United Nations
Environment Program (UNEP) to evaluate scientific, technical and socioeconomic information available in the field
of global climate change.
IPCC is composed of three groups and a task force. Work Group I evaluates the scientific aspects of climate
systems and climate change; Work Group II assesses the scientific, technical, environmental, socioeconomic
aspects of vulnerability to climate change, as well as the negative and positive impacts on ecological systems,
socioeconomic sectors and human health, and options to adapt to changes; Work Group III evaluates the scientific,
technical, environmental, socioeconomic aspects of climate change mitigation, by means of limitation or prevention
of greenhouse gas emissions and the increase of activities towards removing them from the atmosphere; the Task
32 Available at: wwwsp.iai.int 33 Argentina, Brazil, Canada, Chile, Costa Rica, the United States, Paraguay, Peru, Uruguay, Bolivia, Colombia, Cuba, Ecuador, Guatemala, Jamaica,
Mexico, Panama, Dominican Republic, Venezuela.
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Force for Inventories works with developing and refining methodologies for the calculation and presentation of
national greenhouse gas emission inventories.
In the IPCC’s First Assessment Report of 1990, only six Brazilian scientists participated as collaborators, four in Group
I and two in Group II. In 1995, in IPCC’s Second Assessment Report, five Brazilians participated as authors (three in Group
I and two in Group II), and six as collaborators (one in Group I, two in Group II and three in Group III) and six as reviewers
(one in Group I, two in Group II and three in Group III). In the Third Assessment Report, released in 2001, 12 Brazilian
scientists contributed as authors (three in Group I, three in Group II and six in Group III), one as a collaborator (Group II)
and ten as reviewers (two in Group I, three in Group II and five in Group III). In 2007, in the Fourth Assessment Report,
fourteen Brazilian scientists participated as authors (three in Group I, five in Group II and six in Group III) and twenty-one
as reviewers (three in Group I, thirteen in Group II and five in Group III). In the Fifth Assessment Report, released in 2014,
Brazil counted with the participation of 28 authors (being six in Group I, 19 in Group II and 3 in Group III).
The participation of Brazilian scientists is of utmost importance, mainly due to the fact of having a more specific
understanding of processes (for example, those related to the Amazon) and important technologies (for example,
use of ethanol fuel in vehicles) for developing countries.
The progressive increase in the participation of Brazilian scientists is the result of an increase in national training
programs involving climate related subjects, and consequently, an increase in the number of Brazilian scientists who
develop research related to the theme and offer input for a better understanding of the subjects in question.
2.2.3. Brazilian Panel on Climate Change (PBMC)
The Brazilian Panel on Climate Change (PBMC)34, created by MCTI and MMA, is a national scientific body aiming
at providing decision makers and society technical-scientific information about global climate change.
The PBMC’s role is to assess, in a comprehensive, objective and transparent manner, the information produced
by the scientific community regarding the environmental, social, economic and scientific aspects of climate change
to permit a better understanding of the science of climate, the risks of climate change observed and projected for
the future, as well as the impacts, vulnerability and associated actions for adaptation and mitigation.
As a result of the work of the Panel, “National Assessment Reports”, “Technical Reports”, “Summaries for Decision
Makers” on global climate change, as well as “Special Reports” on specific themes are periodically drawn up and
published. These documents provide important elements for the implementation and monitoring of policies in
Brazil, as the National Plan on Climate Change and the Sectoral Mitigation and Adaptation Plans to Climate Change
and the National Adaptation Plan, the latter currently under development.
In January 201535, the PBMC published three volumes of the First National Assessment Report on Climate
Change, referring to scientific information available in Brazil, according to the following structure: compiled by its
three working groups (WG): WG1 – Base Science of Climate Change; WG2 – Impacts, Vulnerability and Adaptation;
WG3 – Mitigation of Climate Change.
34 Established by Interministerial Directive MCT/MMA No. 356, of 25 September 2009.35 Available at: http://www.pbmc.coppe.ufrj.br/pt/noticias/82-destaque/440-painel-brasileiro-de-mudancas-climaticas-divulga-o-primeiro-relatorio-
de-avaliacao-nacional-completo
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The Panel’s structure and functioning are based on the same rules that apply to IPCC. The Panel is comprised
of a Plenary, Board of Directors, Scientific Committee, Executive Secretary, Working Groups and Technical Support
Units. The four Working Groups gathered a total of 100 researchers tied to national research institutions, and
specialists in global climate change.
The PBMC offers an opportunity to organize and expand Brazilian scientific and research production on global
climate change. It is the first experience developed in the country that seeks to unify and systematize existing
knowledge on climate change in Brazil, focusing on regionalization, in a single publication and knowledge platform.
In addition, from an international cooperation and training perspective, the PBMC will share methods, results and
knowledge with developing countries, thus helping strengthen their national capabilities to respond to climate change.
2.2.4. Brazilian Research Network on Global Climate Change (Rede CLIMA)
The Rede CLIMA was created by the MCT in 200736 and is supervised by a Board of Directors comprised of
another four Ministries (Environment; External Relations; Agriculture, Livestock and Food Supply; and Health),
as well as representatives from the Brazilian Academy of Sciences (ABC); Brazilian Society for the Progress of
Science (SBPC); Brazilian Climate Change Forum; National Council of State Secretaries for Science, Technology and
Innovation; National Council of State Research Support Foundations; and the business sector.
Rede CLIMA is national in scope, involving dozens of research groups in universities and institutes. Its scientific
focus covers all relevant issues of climate change, notably:
>> The scientific basis of climate change: detection and attribution of causes; understanding of natural
variability versus anthropogenic climate change; hydrological cycle and global biogeochemical cycles
and aerosol; modeling capability of the climate system.
>> Studies of impacts, adaptation and vulnerability for systems and relevant sectors: agriculture, forestry,
water resources, biodiversity and ecosystems, coastal zones, cities, economy, renewable energy and health.
>> Development of knowledge and technologies for the mitigation of climate change.
The design and development of Rede CLIMA is characterized by the active and coordinated participation of
various education and research institutions in Brazil. These are distributed in different regions of the country, which
provides outreach to the Network, as well as enhances the transfer of the information generated.
Rede CLIMA is structured into 15 sub-thematic networks: Agriculture, Biodiversity and Ecosystems, Cities,
Scientific Dissemination, Natural Disasters, Regional Development, Economy, Renewable Energy, Climate Modeling,
Oceans, Water Resources, Health, Environmental Services of the Ecosystems, Land Uses and Coastal Areas.
A Board of Directors, assisted by a Technical Committee, exercises the coordination. The Board of Directors is
responsible for, among other things, setting the research agenda of the Network; promoting the management of Rede
CLIMA, making all decisions necessary for its operation, subject to the powers of the participating institutions; and
articulating the integration of the Network to the programs and public policies in the area of global climate change.
The Rede CLIMA’s Scientific Committee is comprised of representatives of thematic sub-networks and by
scientists external to the Network. The Committee assists the Board of Directors on research themes and the
evaluation of scientific results, as well as in elaborating public announcements for research.
36 Directive No. 728 of 20 November 2007.
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The Rede CLIMA’s objectives are:
>> to generate and disseminate knowledge and technologies so Brazil can respond to the challenges
represented by the causes and effects of global climate change;
>> to produce needed data and information to support Brazilian diplomacy in negotiations concerning the
international global climate change regime;
>> to conduct global and regional climate change studies in Brazil, emphasizing the country’s vulnerability to
global climate change;
>> to study alternatives for adapting Brazil’s social, economic and natural systems to global climate change;
>> to research the effects of changes in land use and in social, economic and natural systems on Brazil’s
emissions of gases that contribute to global climate change;
>> to contribute to the formulation and monitoring of public policy on global climate change within the
Brazilian territory;
>> to contribute to the design and implementation of a natural disaster alert and monitoring system for the
country;
>> to conduct studies on greenhouse gas emissions in order to support the achievement of national emission
inventories according to Decree No. 7,390/2010.
One of Rede CLIMA’s first collaborative products is the regular elaboration of analyses on the status of global
climate change knowledge in Brazil, along the lines of the IPCC reports, but with more specific sector analyses for
formulating national and international public policies.
In this Third National Communication, Rede CLIMA, with the support of the MCTI, played a strategic role in the
coordination of unpublished thematic studies37, which estimated the negative impacts of global climate change
and analyzed the risk and vulnerability of the ecosystems and human populations.
Another important task of Rede CLIMA, through the Climate Modeling sub-network, is to lead the development of the
Brazilian Model of the Global Climate System (MBSCG) to generate future climate scenarios with regional characteristics
appropriate to the interests of the country. This effort, which is strategically important for the country to have autonomy
and training in modeling the global climate system, has the support of several national and international institutions.
The National Institute for Space Research (INPE) provides full support to the researchers of Rede CLIMA, the FAPESP
Program on Global Climate Change Research and the National Institute of Science and Technology for Climate Change
(INCT) and encourages them to use the new Supercomputing environment of INPE, opened in December 2010.
2.2.5. National Institute of Science and Technology (INCT) for Climate Change
The National Institute of Science and Technology (INCT) for Climate Change38 is a network of interdisciplinary
researches on climate change based on the cooperation of 65 national research groups of all regions and 17
international research groups in Argentina, Chile, Uruguay, United States, Germany, the Netherlands, United Kingdom,
37 See Volume II, Item 2, of this Communication.38 The National Institutes of Science and Technology Program projects the creation of dozens of National Institutes of Science and Technology
(INCTs) spread about the country that will function in a multicentric form under the coordination of an institution-headquarters that already has competence in a specific area of research. The program is conducted by the Ministry of Science, Technology and Innovation (MCTI), through the National Council on Scientific and Technological Development (CNPq), in partnership with FAPESP and with other state Research Support Foundations. The INCT for Climate Change is under the coordination of the INPE.
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India, Japan and South Africa, involving in its entirety more than 400 researchers, students and technicians, and is
the largest network already developed in Brazil for environmental research.
The INCT for Climate Change is based at the National Institute for Space Research (INPE), in the city of São
Jose dos Campos, state of São Paulo, and works closely to other climate change research networks. It is directly
associated with the Brazilian Research Network on Global Climate Change (Rede CLIMA) and covers all scientific
and technological aspects of interest to the Rede CLIMA.
The INCT for Climate Change also enables the linkage, integration and scientific cohesion for the Rede CLIMA. On
the other hand, existing financial mechanisms for this Network provide additional funding for the implementation
of this INCT, which is also associated with the various research programs on climate change, in particular with the
FAPESP Climate Change Program39.
Other partners of the INCT for Climate Change are: the Large-Scale Biosphere-Atmosphere Experiment in
Amazonia (LBA)40, the Thematic Network of Environmental Modeling Research of the Amazon (GEOMA) and the
Brazilian Panel on Climate Change (PBMC).
The main purpose of the INCT for Climate Change is to produce relevant high-quality level information in order
to: (i) detect environmental changes in Brazil and South America, especially related to global climate change, and
attribute causes to the observed changes (global warming, changes in land use, urbanization, etc.); (ii) develop a
Global Climate System model to generate scenarios for global and regional environmental changes, particularly
scenarios in high spatial resolution of global climate change and land uses; (iii) study the impacts of global climate
change and identify Brazil’s main vulnerabilities in strategic sectors: ecosystems and biodiversity, agriculture, water
resources, human health, cities, coastal zones, renewable energies and economy; and (iv) develop studies and
technologies to mitigate greenhouse gas emissions.
In partnership with Rede CLIMA, the INCT for Climate Change contributes as a research and development pillar
of the National Plan on Climate Change, which is periodically reviewed, as science advances.
The INCT for Climate Change is organized into 26 research sub-projects listed below by themes:
>> Detection, Attribution and Natural Climate Variability;
>> Amazon;
>> Land-Use Changes;
>> Global Biogeochemical Cycles;
>> Oceans;
>> Greenhouse Gases;
>> Biosphere-Atmosphere Interactions;
>> Future Climate Scenarios and Reduction of Uncertainties;
>> Climate Change Scenarios for the 21st Century;
>> Agriculture;
>> Water Resources;
>> Renewable Energy;
>> Biodiversity: Composition, structure and function of ecosystems in the Cerrado and Atlantic Forest Biomes –
responses to climate change;
39 To learn more about this program see http://www.fapesp.br/programas/mudancas-climaticas/ 40 See item 2.2.10 about the LBA.
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>> Human Health;
>> Coastal Areas;
>> Urbanization and Mega Cities;
>> Climate Change Economy;
>> Science, Technology and Public Policies Studies;
>> Emissions of Lakes and Reservoirs;
>> Combustion Processes;
>> Reduction of Emissions from Deforestation and Degradation (REDD);
>> Brazilian Model of the Terrestrial System (BESM);
>> Global Atmospheric Model of the CPTEC;
>> Multi-Scale Modeling: Challenges for the Future;
>> Observational Technologies for Climate Change;
>> Information System for the Reduction of Natural Disasters Risks.
2.2.6. National Institute for Space Research (INPE) and climate change
The National Institute for Space Research (INPE) has been providing, since 1995, by means of its Center for
Weather Forecasting and Climate Studies (CPTEC), short and medium term weather forecasts, as well as climate
forecast, in addition to mastering highly complex technical numerical modeling, of the atmosphere and the oceans,
to predict future conditions. Since 2008, INPE, through its Earth System Science Center (CCST), provides studies,
climate change projections, and, whenever possible, propose adaption solutions that will enable the development
with equity and the reduction of the impacts over the environment of the Earth.
INPE’s staff is highly trained, and they use a supercomputer with maximum speed of 258 Teraflops, equivalent
to 258 trillion calculations per second, which placed Brazil among the countries that are able to generate future
climate scenarios to support the Fifth Report of the Intergovernmental Panel on Climate Change (IPCC).
Their staff is highly trained in the best post-graduation institutions of the country and abroad, and its officials
are constantly trained and updated in order to generate new scientific knowledge and develop technology for
applications in various meteorology areas.
The joining of knowledge and technology levels up the reliability achieved in numerical weather and climate
prediction to other forecast centers in more developed countries.
Tupã is a Cray XE6 supercomputer purchased with funds from the Ministry of Science, Technology and Innovation and
the Research Foundation of the State of São Paulo. Installed at INPE, in the town of Cachoeira Paulista, in the interior
of the state of São Paulo, it serves the CPTEC and the Earth System Science Center, in addition to research groups,
institutions and universities members of the Brazilian Research Network on Global Climate Change (Rede CLIMA), the
FAPESP Global Climate Change Program and the National Institute of Science and Technology for Climate Change.
With Tupã INPE can generate more reliable weather forecasts, in advance and with better quality, thus increasing
the level of detail to 5 km in South America and 20 km for the entire globe. It is possible to predict even extreme events
with good reliability, such as heavy rains, droughts, frosts, and heat waves, among others. The environmental and air
quality forecasts are also benefited, generating higher resolution forecasts of 15 km, with up to six days in advance.
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In a country with a huge territorial extension as Brazil, with great climate diversity, the good quality of weather
forecasts is crucial for the planning and good performance of numerous social and economic activities areas,
especially agriculture. INPE, by using numerical models, has been contributing to the prediction of drought or floods,
thus favoring decision-making in the areas of civil defense, energy generation and water resources management.
There is also important contribution in the fields of transport, supply, tourism and leisure. The computing system
and the collections of data provide a significant growth of the meteorological research in the country, with the
result of improving the knowledge on atmospheric phenomena of interest.
One of the INPE’s main objectives is to construct high-resolution global climate change scenarios that will be
used to develop studies aimed at increasing the awareness and training of policy formulators and government
authorities in relation to the impacts of global climate change on the different vulnerabilities and on possible
adaptation measures. Important applications will be used in hydroelectricity (due to its importance in generating
electric energy in Brazil), agriculture, human health and natural disasters, among other areas, which will be provided
with needed information to support the decision-making process.
In collaboration with the teams of the Hadley Center, Tyndall Center and the University of East Anglia in the
United Kingdom, observational studies and the development of climate modeling capacity have been developed
in Brazil, directed to global climate change. INPE is leading the development of the Brazilian Model of the Global
Climate System (MBSCG), directed toward the generation of future climate scenarios in the world, thus allowing
Brazil to be the only country in Latin America to generate global future climate scenarios that are compatible with
the models used by the Intergovernmental Panel on Climate Change (IPCC).
INPE uses dynamic downscaling with the Eta model, developed by INPE itself, for climate change studies. This
model connects to the global model desired and allow for the implementation of climate simulations for the
country and Latin America and the Caribbean, with greater spatial details. The ETA model for the study of climate
change was developed by INPE.
The activity involves strong national and international scientific collaboration in generating knowledge and
capacity for implementing global climate change scenarios on a more detailed and precise scale than ever before.
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INPE-Emission Model (EM): evolution of the methodology for the calculation of the emissions due to land use and land-use change and forestry (LULUCF)
The development of a framework for modeling the land-use change emissions INPE- Emission Model
(EM) is a national effort to a future improvement of the methodology for estimating the emissions for land
use and cover change and forestry (LULUCF). INPE-EM is a product of the Earth System Science Center
(CCST) of the National Institute for Space Research (INPE), with support of Rede CLIMA, in partnership with
several institutions.
The model is able to generate 1st order estimates (assuming 100% of the emissions occur at the time
of land-use transition), and 2nd order estimates (to consider the gradual process of liberation and carbon
sequestration, representing fl ows between biomass compartments)41. All parameters that represent the process
of emission/removal may be spatially explicit to consider the heterogeneity within a region. The framework is
easily confi gurable, extensible and open source, allowing the development of new modules or modifi cation to
the existing ones whenever necessary.
Both alternatives to estimate the net carbon emissions have been introduced to make it more suitable
to generally represent the different slash-and-burning practices in different biomes, with a higher
flexibility for representing the practices related to aboveground and belowground living biomasses (for
instance, partial cut harvesting and root removal). Carbon pools related to dead organic matter (dead
wood and litter) were explicitly incorporated, being added to the dead organic matter generated by the
slash and burning process42. Finally, in addition to estimates of CO2 emissions, emissions of CH4, N2O,
CO and NOx are also calculated. The Figure I (a and b) show schematically how the estimates of the 1st
and 2nd Order emissions for the cutting/burning processes of natural vegetation are done in the new
version of the framework.
41 1st order estimates are compatible with Tiers 1 and 2 of IPCC’s GPG-LULUCF (Good Practice Guidance for Land Use, Land-Use Change and Forestry). 2nd order estimates are compatible with Tier 3.
42 Carbon compartment in soils is not considered in this version of the model.
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FIGURE ISchematic representation of emission estimates of clear-cut and burnt forests: a) 1st order estimates, considering all the instantaneous emissions; b) 2nd order estimates, considering the fl ows between carbon pools and instantaneous and gradual emissions
Disturbance: clear-cut and burnt of forest area to form pasture or crop area
(1st Order Emissions)
Above
ground live
biomass
CO2 instantaneous emission
Below
ground live
biomass Dead organicmatter existenton the ground
Slash and burn
Slash and burn
(a)
Disturbance: clear-cut and burnt of forest area to form pasture or crop area
(2nd Order Emissions)
Aboveground live
biomass FireCO2, CH4, CO, N2O, NOx instantaneous emission
Dead organic matterCO2 gradual emission
(decomposition and periodic fires)
Dead rootsCO2 gradual emission (decomposition)
Wood productsCO2 gradual emission
Belowground live
biomass
Slash and burn
Slash and burn
Timer extaction
Death
Dead organicmatter existenton the ground
(b)
Estimates of 2nd order aim at representing more realistically the carbon release rate into the atmosphere
over time – taking into account that part of the biomass is converted into wood products, part is burned,
and part is left on the ground, suffering gradual decomposition (above or below ground). In the case of CO2,
emissions of 2nd Order consider the sum of components related to instantaneous release by burning (the
living biomass and dead organic matter) to the gradual decomposition of elements of dead organic matter,
wood products and elemental carbon. Emissions of CH4, N2O, CO and NOx are proportional to the percentage
of biomass burned.
Applications for other Brazilian biomes are being developed, in particular, the Cerrado and Caatinga.
Components are also being developed for selective logging and fi re in the natural vegetation as well as the
subsequent dynamic after these disturbances (as the secondary vegetation growth).
In a nutshell, after the refi nements that are currently underway, the INPE-EM framework has a potential
as being a tool to be used to refi ne and to facilitate the emission estimates for this sector, not only in Brazil,
but also for other countries, because its parameterization and open code can allow constant improvement
and the inclusion of new components – as long as deforestation monitoring systems are operational and
can supply reliable data.
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2.2.7. Amazon Monitoring Program by Remote Sensing
When changes occur in land use, i.e., a forest is cut and burned, being replaced with pasture, agriculture or other
form of land use, there is release of a large amount of carbon in the form of CO2 to the atmosphere, thus contributing
to global warming. At the same time, standing forest acts as a carbon sink, sequestrating the greenhouse gases
released from the atmosphere. This way, the monitoring of deforestation and burns maintains a close relation with
the global climate change.
Brazil has accumulated national capacity in monitoring deforestation and fires through the National Institute for Space
Research (INPE). The recent downward trend of deforestation in the Brazilian Amazon, one of the largest recorded on the
planet, is in large part a result of the monitoring systems produced by INPE, which guided the formulation of public policies
for the region, as well as the command and control actions to prevent and combat deforestation in priority municipalities43.
The INPE Remote Sensing Amazon Monitoring Program counts with four operational and complementary
systems: Prodes, Deter, Degrad and Queimadas.
The Project for the Estimation of the Gross Deforestation of the Brazilian Amazon (Prodes) is the largest monitoring
project of the world’s forests using satellite remote sensing techniques. Since 1988, INPE has been producing annual
estimates of deforestation rates by clear-cutting of the Legal Amazon, when the forest cover is fully removed. The
Prodes, supported by the Ministry of the Environment and Brazilian Institute of Environment and Renewable Natural
Resources (Ibama) and financed by the Ministry of Science, Technology and Innovation, identifies clear-cutting areas
with minimum areas of 6.25 hectares. As of 2003, INPE started to adopt the process of interpretation assisted by
computer for the calculation of the deforestation rate in the Amazon, called Prodes Digital to distinguish it from the
previous process. The main advantage of this procedure is in the accuracy of the georeferencing of the deforestation
polygons in order to produce a multi temporal geographic database. The disclosure of such data highlights the
continued commitment of the Federal Government to treat this information with transparency44.
The calculation methodology of the deforestation rate in the Amazon is based on some assumptions:
>> The images used are from the LANDSAT satellite and form a grid that covers the entire Amazon Region,
composed of a set of orbits and points. Each image is identified uniquely by an orbit-point ordered pair;
>> Part of the images cannot be analyzed due to problems of cloud cover or conflict between the time
required to process all images and the date scheduled for the disclosure of the rate. In this case, the
images are selected so as to cover the maximum possible of deforested areas in the previous year;
>> As of 2005, in cases of high cloud coverage, images from other satellites (or dates) can now be used to
compose the scene;
>> The areas not observed due to cloud cover should be taken into account in the procedure to calculate the
increase estimated for each image;
>> Deforestation occurs only in the dry season. Thus, for each orbit-point, the dry season was established
based on climatological parameters. In order to provide an annualized rate of deforestation in the picture,
the increments of deforestation detected in each image must be projected for a reference date.
43 Article 2 of Decree No. 6,321/2007, provides that the Ministry of the Environment will issue, each year, a directive with a list of prioritized municipalities located in the Amazon Biome, whose identification of areas will be carried out from the historical dynamics of deforestation checked by INPE, on the basis of the following criteria: total area deforested; total area of deforested forest over the last three years; an increase in the rate of deforestation in at least three of the last five years. These municipalities become the focus of the policy to prevent and combat deforestation in the Amazon.
44 Prodes data are found at http://www.obt.inpe.br/prodes/index.php
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The image interpretation methodology consists of the following steps: selection of images with less cloud
cover and with date of collection as close as possible to the reference date (August, 1st) for the calculation
of the deforestation rate; georeferencing of the images; processing of the radiometric image data into scene
component images (vegetation, soil, and shadow) by the application of spectral mixture algorithm to concentrate
the information on deforestation in one to two images; segmentation in homogeneous fields of the images of land
and shadow components; non-supervised classification, and by fields, of land and shade images; mapping of the
non-supervised classes in informative classes (yearly deforestation, forest etc.); edition of the classes mapping
result and preparation of thematic maps mosaics of each State.
The information provided by INPE allow the Brazilian Institute of Environment and Renewable Natural Resources
(Ibama) and the state environment bodies to perform a survey of the causes, dynamics and consequences of the
deforestation process in the Amazon, assisting in its strategy to combat and prevent deforestation.
The integrated monitoring strategy performed by Ibama is based on the following points:
>> Extensive use of airborne sensing for the identification of selective logging;
>> Adoption of satellite communication systems, installed on the Ibama’s surveillance vehicles, for the
consultation of registers, thus allowing the verification of the documentation and the existence of
irregularities; and
>> Identification, dissemination and application of technologies for the sustainable use of the forest, aiming
at replacing agricultural and forestry practices that are not compatible with the environment.
As a result, the monitoring of the areas of interest is possible via the issuance of infraction notices, transport
permits for forest products and inspection reports, in addition to allowing the monitoring of the inspectors work,
once each vehicle is monitored.
The Prodes data alone are not sufficient for prevention and monitoring actions due to the time it takes for them
to be produced and because they included only the clear-cutting areas. For this reason, as of 2004, INPE implemented
the Real Time Deforestation Detection System (Deter) for the continuous monitoring of deforestation and forest
degradation45, which has been of support to the Action Plan for the Prevention and Control of Deforestation in the
Amazon Region (PPCDAm)46.
Deter provides the location and approximate size of new occurrences of changes in vegetation to support
deforestation enforcement and control actions. This system uses images of the MODIS sensor (aboard the TERRA
satellite), NASA and WFI (aboard the Brazilian satellite CBERS-2B of INPE). These sensors cover the Amazon with
high temporal frequency (two and five days, respectively), but with a moderate spatial resolution of 250 meters.
With this spatial resolution, the images of these sensors can only detect deforestations whose areas are greater
than 25 hectares. Thus, the Deter measures are more inaccurate than those of Prodes, but made more frequently.
In order to assist in surveillance and control of the illegal use of the forest, the Deter uses a more comprehensive
deforestation concept than Prodes. The Prodes only identifies and counts the areas that show clear cutting, which is
the final stage of the deforestation process. In Deter, any change of forest cover in the analysis period is singled out
as an area of warning and subject to monitoring, without differentiating the deforestation process stage. Thus, the
Deter seeks to identify the intermediate stages of the deforestation process. Every 15 days, when the observation
45 See: http://www.obt.inpe.br/deter/46 For details on the PPCDAm, see Volume II of this National Communication.
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conditions are favorable, the Deter produces a digital map with all deforestation occurrences observed in the
previous fortnight. In this manner, it allows organizations in charge of monitoring to plan their field actions and
operations to combat illegal deforestation.
As of May 2008 INPE started to qualify the monthly deforestation alerts issued by Deter. The qualification is
made through the analysis of the polygons sample of Deter with better resolution images (LANDSAT and/or CBERS).
The alerts overlap the images of better spatial resolution and are then classified as Clear Cutting or Mild,
Moderate or High Forest Degradation. The unconfirmed alerts such as deforestation are also accounted for. The
Deter alert system presents a good average confirmation of deforestation events.
In 2008, INPE developed the Degrad system47, in accordance with the indications of the forest degradation
growth of the Amazon obtained from the Deter data. It is a new system designed to map areas in the process of
deforestation in LANDSAT and CBERS images, where the forest cover has not been fully removed yet. This system’s
objective is to produce detailed maps of forest areas with a tendency to be converted to clear cutting. These areas
are not computed by Prodes. As well as Prodes, the minimum area mapped by Degrad is 6.25 hectares.
Additionally, INPE maintains, since 1985, an operating fire-monitoring satellite system all over Brazil and great
part of South America. For this, it developed methodologies and programs to identify hot spots in low-resolution
satellite images, such as the NOAA, GOES, TERRA, AQUA and METEOSTAT series.
Since 1988, initially with the Program for the Prevention and Control of Fires and Forest Burnings on the Arc
of Deforestation (Proarco), the government has been promoting actions to eradicate the illegal use of fire and
burnings. The Proarco Program was ended in 2006, and its activities were transferred to the National System of
Prevention and Combating to Forest Fires (PREVFOGO), created in 1989, within the framework of the Ibama. The
PREVFOGO is in charge of, among others things, developing programs to sort, monitor, prevent and combat forest
fires, and also developing and disseminating management techniques to control fire.
2.2.8. PIRATA Program
The Prediction and Research Moored Array in the Atlantic (PIRATA Program) involves Brazilian, French and
Americans scientists, and is implemented by means of international cooperation involving the National Institute
for Space Research (INPE), of Brazil; the Méteó France and Institute for Development Research (IRD – Institut de
Recherche pour le Developpement), of France; and National Oceanic and Atmospheric Administration of the USA
(NOAA), of the USA. It is considered one of the five largest oceanographic programs of the world. The objective of
the PIRATA Program is studying the ocean-atmosphere interactions in the tropical Atlantic and their impacts on the
regional climate variability in seasonal scales, either interannual or longer periods. The Pirate Program data also
allow the formulation of seasonal climate forecasting models in the region and in underlying continental areas.
In Brazil, the PIRATA Program is ruled by the National Committee of the PIRATA Project, which counts with
five institutions: the National Institute for Space Research (INPE), which chairs it; the Navy’s Directorate of
Hydrography and Navigation (DHN); the Oceanographic Institute of the University of São Paulo (IOUSP); the
47 See: http://www.obt.inpe.br/degrad/
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Cearense Foundation of Meteorology (FUNCEME); and the National Institute of Meteorology (INMET). The
Laboratory of Meteorology of Pernambuco (LAMEPE) and the Federal University of Pernambuco (UFPE) also
contribute to the PIRATA Brazil Program.
The project consists of the implementation, in the tropical Atlantic Ocean, of a pilot system that will allow the
collection of atmospheric and oceanic data, which counted with the launch and the maintenance of 12 “Atlas” buoys
(Autonomous Temperature Line Acquisition System), between 1997 and 2000, anchored on the high seas, in the
middle of the Atlantic Ocean and close to the Equator, to a 5,000 meters depth. Currently, there is a total of sixteen
systems anchored, being ten from the original arrangement (1997-1998) along the Equator (35W, 23W, 10W, 0W)
and at longitudes 38W (4N, 8N, 12N and 15N) and 10W (6S, 10S), three in two southwest extensions, launched in
2005, and two released in the northeast extension, in 2006, the same year a buoy was launched in the southeast
extension of Ocean.
The buoys, together with tide graphs and weather stations equipped with Data Collection Platforms in the
archipelagos of São Pedro and São Paulo and in Fernando de Noronha, measure the temperature and salinity from
the sea’s surface layer to a depth of 500 m and it obtains data on weather conditions and sea level in the region.
The data obtained are transmitted via satellite through the ARGOS48 and INPE/SCD49 services and available in
“almost-real” time in the internet. In addition to these, a subset of buoys of the PIRATA arrangement continuously
measures the concentrations of O2 and CO2 dissolved in seawater.
During the PIRATA program’s pilot phase, from 1997 to 2000, the logistics, maintenance and engineering
problems that could arise from implementing the observation system were evaluated. During the consolidation
phase, from 2001 to 2007, the longevity of maintenance procedures was tested and the logistics aspects of
material exchanges between the USA, Brazil and France were improved. As of 2008, the network entered
into its “permanent” phase, that is, it became a reference international monitoring network of the Tropical
Atlantic, recognized by the World Climate Research Program (WCRP) panels/Atlantic Panel and the Oceans
Observations Climate Panel (OOCP). Also, information raised by PIRATA is a great contribution towards the
international research effort carried out by the WCRP, especially for activities that followed the Tropical Ocean
Global Atmosphere (TOGA) (CLIVAR-GOALS), which monitored the Pacific Ocean, under the same guidelines
from 1985 and 1994.
Brazil’s interest in the PIRATA Program results from the fact that, from a meteorological and oceanographic
perspective, permanent monitoring of this region is necessary, including the inter-hemisphere heat transfer aspects
that occur in the sub-surface of the ocean in that region. The collected data is also indispensable for improving climate
forecasts, as well as short-term weather forecasts. Temperature anomalies end up determining extreme rain events in
the northeast of the country, which are only predictable if there is permanent monitoring of this variable.
With over 350,000 data files distributed by the PMEL/NOAA website alone and for free through the Internet
and 139 articles published in journals between 1998 and 2012, the PIRATA Project is a remarkable demonstration
of scientific success and an example of international cooperation aimed at global oceanic monitoring for climate
variability studies and global climate change.
48 Argos is a system of artificial satellite that collects, processes and disseminates environmental information from fixed and mobile platforms throughout the world.
49 SDC is a data collection Brazilian satellite.
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In addition to the PIRATA Program, Brazil also develops other oceanographic initiatives of excellence:
observation network through fixed buoys and drifting in the South and Tropical Atlantic (PNBOIA); permanent
network of average sea level monitoring (GLOSS/Brasil); monitoring network of waves in shallow water (Rede
Ondas); monitoring project of the thermal structure characterization, from High Density XBT lines between Rio de
Janeiro and Ilha da Trindade (MOVAR). Together these initiatives integrate and contribute to the Overall System of
Oceans Observation (GOOS) and for the advance of science in terms of knowledge on the global climate change
and its impacts over the coastal areas.
2.2.9. Monitoring System of the Brazilian Coast (SiMCosta)
In November 2011, in Salvador, during the II Workshop on Climate Change in Coastal Zones, the representatives
of the Coastal Zone Sub-network of the Rede CLIMA decided for the imperative necessity of continuously monitoring
the physical, chemical and biological properties of coastal waters, and also providing easy access to the scientific
community and public managers. Consequently, the implementation of a country-wide Monitoring System of the
Brazilian Coast (SiMCosta) was concluded to be a necessity.
It is an anchored system, with surface buoys, used to support the oceanographic equipment attached to its
connection cable as well as to fix meteorological meters and the data transmission system via radio, telephone
and satellite.
The SiMCosta Project is based on resources from MCTI, CNPq and the Climate Fund with an objective of
implementing and maintaining a monitoring network in a continuous flow of oceanographic and meteorological
variables along the Brazilian coast. In the medium run, it is expected that the entire coastal region along the
Brazilian territory is going to be attended.
Data extracted from the monitoring network may allow:
>> to establish a warning system in cases of occurrence of extreme events;
>> to forecast the processes related to climate effects, such as El Niño/La Niña events;
>> to identify long-term trends;
>> to map vulnerabilities of the coastal zone;
>> to forecast impacts on the physical, biotic and social-economic surroundings of the coastal zone;
>> to generate future scenarios;
>> to assess mitigation alternatives;
>> to provide modeling information, assess the variables and status of the coastal ecosystems;
>> to expand the national capacity of development and managements of oceanographic observation system.
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2.2.10. Large-Scale Biosphere-Atmosphere Experiment in Amazonia (LBA)
The Large-Scale Biosphere-Atmosphere Experiment in Amazonia (LBA) was an international research project of
the United States, European Union and Brazilian research institutes and universities. In 2007 it became a program
of the Ministry of Science, Technology and Innovation (MCTI). The Amazon National Research Institute (INPA),
responds for the scientific coordination, which includes coordinating the work of 288 partner institutions.
The LBA’s research program is guided by the need to understand the operation of complex natural ecosystems
of the Amazon Watershed with focus on the tropical rain forest biome, the largest one in the planet, and the impacts
of the transformations related to changes in land use, which occur as part of land development and occupation.
It thus seeks to understand how changes in land use and climate can affect the watershed’s biological, chemical
and physical processes as well as the region’s sustainable development and its interaction with the global climate.
The LBA Program is currently in Phase 2. LBA’S Scientific Plan for Phase 2 was drawn up through a series of
meetings involving the MCTI, Brazilian research institutes and universities. The initial program (LBA Phase 1) was
restructured after a careful analysis of the results of Phase 1 and based on a future research vision in the Amazon,
made by members of LBA’s International Scientific Committee. Thus, three integrating axes were defined: (i) the
changing Amazon environment; (ii) the sustainability of the environmental services and the terrestrial and aquatic
production systems; (iii) variability of the climate and hydrological changes – feedback, adaptation and mitigation.
These three focal points are structured in interdisciplinary areas, organized into three thematic axles: (i) multi-
scale physical-chemical interactions in the biosphere-atmosphere interface in the Amazon; (ii) social dimensions
of the environmental changes and the dynamics of land use and cover in the Amazon; (iii) physical-chemical-
biological processes in the aquatic and terrestrial systems and their interactions.
This interdisciplinary structure is geared to answer two basic questions that guide the LBA research program: (i) How
does the Amazon currently work as a regional entity; (ii) How do the land use and climate changes affect the biological,
chemical and physical functioning of the Amazon, including its sustainability and its influence on the global climate?
During the first ten years of existence (1998-2007), the LBA counted with NASA and other institutions in the
United States and Europe as partners. Together, they accounted for approximately half of the $100 million invested
in this period. Today, transformed into a government program, the LBA counts with Brazilian resources budgeted in
the Multiannual Plan that ensures the maintenance of its basic infrastructure. Other sources of funds are sought to
ensure the continuous expansion of the researches and studies.
Currently, the LBA has 45 ongoing research projects funded by different institutions. The construction of a
320m-high observation tower (ATTO) will be important for several of these projects. The tower will serve as a long-
term platform for climate, physics and atmospheric chemistry investigations, including anthropogenic impacts. The
results are intended for use in models of cycle/carbon balance.
Another important initiative of the LBA that provides the basis for its own activities is its line of action in
training and education, present from the very beginning. The LBA Program was innovative in establishing research
lines on topics that were not part of the research agenda of the majority of the Amazonian institutions and also to
use cutting-edge technology that did not exist in the region. Many research lines of the LBA were not developed at
institutions of the Amazon and Cerrado. For this reason, the LBA, since its conception, still in the planning phase,
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had to invest in the training of human resources and staff to begin and continue its research activities. The training
and education component of the LBA were then created in 1995, with the specific task of developing human
resources for the program, with an emphasis in the Amazon and the adjacent region of the Cerrado, and providing
direct feedback to the host countries in terms of strengthening their scientific communities.
In ten years, the LBA managed to surpass the goal it had set out to train and qualify 100 doctors, surpassing
140 doctors.
2.2.11. Brazilian Antarctic Program (Proantar)
Antarctica has a key role in the global natural systems. It is the main thermal regulator of the planet, and
controls the atmospheric and oceanic circulations, influencing the climate and the conditions of life on Earth. It
also owns the largest reserves of ice (90%) and fresh water (70%) of the world.
Over the last few decades, important scientific observations, among which, the ones relating to the reduction
of the protective ozone layer of the atmosphere, the atmospheric pollution and the partial disintegration of the ice
on the periphery of the continent, showed the sensitivity of the southern polar region to global climate change.
The scientific research of the southern region is of paramount importance for the understanding of the
functioning of the Earth system. Clarifying the complex interactions between the Antarctic and global natural
processes is, therefore, essential for the preservation of human life.
Brazil’s condition as an Atlantic country, located relatively close to the Antarctic region, being the seventh
nearest country, as well as the influences of the natural phenomena that occur there on the national territory
fully justify the historic interest of Brazil on the southern continent. These circumstances, in addition to strategic,
geopolitical and economic reasons, were also determining factors for the country to join the Antarctica Treaty, in
1975, and initiate the Brazilian Antarctic Program (Proantar), in 1982.
The Proantar is a program that will be implemented by the Interministerial Commission for Marine Resources (CIRM)50.
Since the beginning of PROANTAR up to 2002, funding was based on spontaneous demand projects, in several
disciplines of the Sciences of the Atmosphere, Earth and Life. In 2002, at the MMA’s initiative, in a partnership
with CNPq, new research have been started through two large networks dedicated to: (1) the impact of global
environmental changes in the Antartic and their consequences to Brazil; (2) an assessmentof the environmental
impacts of the Brazilian activities in that region.
Under this context, Brazil participated in several initiatives organized by the International Council for Science
(ICSU) program and World Meteorological Organization (WMO). The main Brazilian projects were focused on: (a)
the interaction among the regions of the Antartic continental shelf and the slope (continental shelf-breaking
region); (b) the effects of oceanic circulation in the Antarctic climate and connections with South America; (c) high-
atmospheric chemistry and physics and connections with South America; (d) mass balance in the glaciers of the
Antarctic Peninsula and impacts on the local ecosystems; (e) study of evolution adaptations of Antarctic fishes; (f)
impact of local environmental changes in Antarctic stations.
50 More information at: http://www.mar.mil.br/secirm/portugues/proantar.html
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In 2012, the Cryosphere Expedition, designed and carried out by the national scientific community, marked
a new stage in the Proantar by implementing a new scientific laboratory. This module, called Cryosphere 1, has
transmitted, since then, meteorological and atmospheric chemistry data directly to Brazil. This information is
essential to improve weather forecasts in Brazil and for studies on the impact of climate change.
2.2.12. Mitigation Scenarios Monitoring
A full assessment of the reduction and costs of potential of greenhouse gas emissions (GHG) are crucial to the
efforts to design and guide the climate policies to reconcile mitigation efforts with the economic development and
the local social-environmental quality.
Brazil has advanced in the creation of a national capacity to monitor future scenarios of GHG emission and
mitigation options. There are currently two ongoing research projects: Mitigation Options of Greenhouse Gas in
Key Sectors of Brazil, conducted by the Ministry of Science, Technology and Innovation (MCTI) and the Economic
and Social Implications Project (IES Brasil), coordinated by the Brazilian Forum of Global Climate Change, with the
institutional support of different ministries, including the MCTI.
Mitigation Options of Greenhouse Gas in Key Sectors of Brazil
This project is sponsored by the MCTI in partnership with the United Nations Environment Program (UNEP),
with the financial support of the Global Environment Fund (GEF).
The project will establish specific base scenarios per sector, based on the most recent data available (reference
scenario) for the 2012-2035 and 2035-2050 periods; and estimate the technical and market potentials, plus the
abatement cost for the reduction of GHG emissions. This will be done for each one of the selected sectors: industry;
energy production and processing; transport; residential and services; agriculture; land use and forests change;
waste management, as well as for specific intersectoral alternatives.
This effort will lead to the establishment of a database on the mitigation of GHG emissions for each of the
sectors mentioned above, which will collaborate for the driving of the climate policies and for the training with
regard to the mitigation actions of the Brazilian government. The analysis of the results will be made on the basis
of three scenarios: reference scenario (baseline), low carbon scenario, and low carbon scenario with innovation.
The scope of the project will also assess the real mitigation potential, considering the Brazilian economy as a
whole – while avoiding the double counting of mitigation measures – and analyzing the potential impacts of the
adoption of low carbon policies by the Brazilian economy.
In addition to the research, an important component of the project is training. It seeks to increase the capacity
and technical skills of governmental and non-governmental actors to identify mitigation options; quantify its
respective potentials and costs for the various sectors of the Brazilian economy; and assess the possible impacts of
different climate policies on the Brazilian economy. The objective is to strengthen local capacities and prepare for
the implementation of policies for the mitigation of climate change. Capacity-building will take three dimensions
into account: (i) the institutional capacity to promote the development of policies, procedures, regulations and the
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systems of goals and incentives comprising the actions for the mitigation of GHG emissions; (ii) the organizational
capacity to foster the planning and management capacity of individuals, through the creation of internal goals,
mechanisms and resources; and, finally, (iii) the human resources capacity for the training of the government
personnel in the definition of objectives, development and management of climate policies programs, mobilization
of resources and implementation of the climate policy.
Therefore, the Mitigation Options project has a strategic importance in the estimation of the mitigation
potential costs for industrial competitiveness (direct impacts) and the Brazilian economy (indirect impacts) and, at
the same time, evaluates the possibility of gains, through innovation, for the reduction of GHG emissions in Brazil.
Economic and Social Implications (IES-Brasil Project)
The IES-Brasil Project, coordinated by the Brazilian Climate Change Forum (FBMC), gathers a set of efforts from
different sectors of the Brazilian society. Its purpose, based on the impact the GHG emission exerts on the social and
economic growth, is to identify distinct development trajectories that may align socioeconomic and environmental
objectives. For that, it prepares economic scenarios for the 2020-2030 and 2031-2050 period deemed pertinent
by the mobilized sectors. This way it identifies mitigation policies that reveal best answers in relation to their
economic and social impacts.
The concept of the IES-Brasil Project comes from an international collaboration led by the Mitigation Action
Plans and Scenarios (MAPS) initiative. Several countries in the southern hemisphere have decided to bring forward
participatory processes, from the MAPS initiative, to model and understand the effects of GHG mitigation policies,
trying to align economic and social development. The first case of this kind occurred in South Africa, and similar
projects are underway in Chile, Colombia and Peru. The IES-Brasil project benefits from the collaboration between
the research teams and facilitation of different countries involved in the initiative.
A differential of IES-Brasil is that it intends to generate different GHG emissions scenarios in the medium and
long term for Brazil through a participatory process involving, from the very beginning, the government, the private
sector, the academia and civil society. The project will also provide elements for the business mitigation strategies
and civil society organizations active in this field, so that government and society will be able to access their results
with the certainty that a high level of contribution of stakeholders was considered and that the best practices and
professional research were involved.
For the implementation of the research, the FBMC established a multi-disciplinary expert committee (Scenarios
Elaboration Committee – CEC), which will discuss and select the assumptions and input data needed to feed the modeling
tool. This committee will decide together, or through the creation of Working Groups, the values of various input variables
for the simulation of scenarios. Its members will be those with experience in the sectors in which they operate.
The Research and Modeling Committee (CPM) will deal with the information, and will also run the models and
report the results. The FBMC will facilitate all meetings and interactions between the CEC and CPM.
The IES-Brasil project counts with the institutional support of various ministries: Ministry of Science, Technology
and Innovation; Ministry of Environment; Ministry of Mines and Energy; Ministry of Finance; Ministry of Foreign
Affairs; Ministry of Development, Industry and Foreign Trade; Ministry of Planning, Budget and Management and
the Executive Office of the Presidency of the Republic (“Casa Civil da Presidência da República”).
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2.3. TECHNOLOGY TRANSFER The problem of global climate change is notably scientific and technological at the short and medium terms.
It is scientific because it deals with defining climate change, its causes, intensity, vulnerabilities, impacts and
reduction of uncertainties. It is technological because the measures to combat global warming include actions
that aim at the promotion and the cooperation for the development, application and diffusion, including transfer
of technologies, practices and processes that prevent the problem and its adverse effects.
As described in Item 3 herein, MCTI, by means of its General Coordination of Global Climate Change (CGMC),
is the Brazilian National Designated Entity for the Technology Mechanism of the United Nations Framework
Convention on Climate Change.
The Technology Mechanism was established by the 2010 Cancún agreements, and is characterized by a
more dynamic approach, focusing on training, on an assessment of the needs of technological innovation, on
the promotion of public-private partnerships, fostering research and development activities, and on mobilizing
technological centers and national, regional and international networks.
The MCTI recognizes that the range of final objective of the Climate Convention will require technological
innovation, as well as a rapid and extensive transfer and implementation of technologies, including know-how
for the mitigation of greenhouse gas emissions and to adapt to the impacts of climate change. Consequently,
the Ministry started a work agenda focused on the development of research and technical studies that make
up the Brazilian project “Technology Needs Assessment for Climate Change” (TNA), which aims at initiating the
internalization of the Technological Mechanism in Brazil.
Project TNA aims at supporting Brazil in assessing needs and technological priorities for the establishment of
a low-carbon economy, resilient to the adverse effects of climate change, and developing a national Technology
Action Plan (TAP), which will establish the activities to be carried out to allow internalization and dissemination of
primary technologies in the country.
As it will be seen in the next sections, it is remarkable to note that, even before the General Coordination of Global
Climate Change became the National Designated Entity by the Technological Mechanism of the Convention, Brazil had
been trying to identify its Technological Needs in relation to Energy and which areas related to vulnerability, impacts
and adaptation should receive greater inflow and attention through the Science, Technology and Innovation Policy.
The theme of international cooperation and technology transfer is also an area of activity of the Brazilian
government. In compliance with article 4, paragraph 1(c) of the Convention, and taking into account its
common but differentiated responsibilities and development priorities, objectives and specific national
and regional circumstances, Brazil contributes towards promoting and cooperating “in the development,
application and diffusion, including transfer, of technologies, practices and processes that control, reduce or
prevent anthropogenic emissions of greenhouse gases not controlled by the Montreal Protocol in all relevant
sectors (. . .).” It is also necessary to stress the Convention’s provisions on the transfer of technology, found in
its Article 4, paragraphs 3, 5, 7, 8, and 9.
It must be recognized that a fast and effective reduction in greenhouse gas emissions and the need to adapt to
the adverse effects of climate change require access to, diffusion and transfer of sustainable technologies.
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Brazil understands the expression “transfer of technology” in a more comprehensive manner, encompassing the
different stages of the technological cycle, including research and development (R&D), demonstration, increase in
scale (deployment), diffusion and the transfer of technology per se, in relation to mitigation as well as adaptation.
Brazil believes the development and transfer of technology related to global climate change should support
mitigation and adaptation actions in order to achieve the Convention’s ultimate objective. In seeking this objective,
identification of technological needs must be determined based on national circumstances and priorities.
2.3.1. Technological Requirements in Relation to Energy
This section highlights the country’s technological needs in relation to energy in a manner that combines
meeting growing demands with the use of sources that emit fewer greenhouse gases. However, this section does
not merely identify the technologies the country needs to receive, but also the great potential for endogenous
technologies that can be disseminated and/or transferred to other countries, especially developing ones, through
South-South or triangular (North-South-South) cooperation. Sugarcane ethanol is one of these examples, as are
technological advances achieved in the agriculture sector.
Brazil’s great challenge over the coming decades is to find solutions that meet the growing demand for energy and
at the same time satisfy the criteria of economicity, supply security, public health, guarantee of universal access and
environmental sustainability. In order to satisfy these criteria, significant efforts in research, development and innovation
(RD&I) must be initiated immediately and in coming years to meet expected energy demands in 2030-2050.
In this context, the Center for Strategic Studies and Management (CGEE) has conducted studies aimed at identifying
the current status of diverse technologies related to energy generation, and to explore the interest and opportunities
for transfer/cooperation between Brazil and abroad in relation thereto. These studies aim at offering inputs for
international negotiations related to energy technologies with potential to mitigate greenhouse gas emissions.
As regards technologies for the generation of electricity from natural gas and coal, Brazil has the need for the
most modern technologies based on these fuels, including from other developing countries, like South Africa. Brazil
has knowledge in the area of pulverized coal, since plants of this type currently exist in the country; however, there
are no research initiatives in ultra-supercritical coal systems. In the case of large gas turbines, it is a technology
already in use on a commercial scale in the country through multinational companies. There is a budding interest
in small gas turbines in Brazil and there are already research groups working in this area, making room for
international collaboration in applied R&D.
In the case of technologies for generating electricity from nuclear energy, Brazil has knowledge in the fuel
production area, including the uranium enrichment step.
There is an interest to seek better technologies in the photovoltaic solar energy field and to promote cooperation
agreements with internationally recognized centers of excellence with the objective of training human resources,
enabling exchange of information (such as experiences, standardizations, measurements and support) and promoting
project execution. Brazil has a large industrial park that extracts and processes quartz, transforming it into metallurgical
grade silicon, but it does not yet have companies that transform metallurgical grade silicon into solar grade.
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Wind energy is one of the fastest growing sources and its technological advances are rapidly reaching the
market. The country needs to keep up with these advances. There is need to adapt software, technologies and
materials to make them more appropriate for Brazilian conditions. There is room for R&D and applied research and
for the nationalization of components. There are industries in the country with technology transfer agreements.
Brazil also has an industrial structure potentially capable of meeting the demand for new aerogenerators and their
components. The main countries that have these technologies are Germany, Denmark and the United States. China
and India already have expressive programs for manufacturing and installing aerogenerators.
Brazil is interested in greater use of biomass gasification, a technology currently under development at the
international level. The 2030 Energy Plan already considers systems that use gasification and combined cycles in
the sugar and alcohol sector. There are already some groups working on this theme at Brazilian universities and
more recently efforts at developing prototypes have been observed in the industrial sector. This is an area that
can benefit from greater international cooperation with research centers in the USA and Europe. The academic
knowledge the country has could be transferred to countries in the South and North.
Medium and large hydroelectric power technology is already mature in Brazil and around the world. But the
SHPs have potential for technological development in the world. The country has expertise mainly in hydraulic
turbine optimization projects and civil engineering. Currently, private companies are carrying out most of these
activities. In terms of transfer of technology, this is an area where Brazil could export knowledge, products and
services to both Southern and Northern countries.
The country already produces hydrogen, but its use on a greater scale for energy purposes requires additional
cost reduction efforts. There are possibilities for joint developments between Brazil and several developed and
some developing countries as already explored under the “International Partnership for a Hydrogen Economy”. Brazil
already has knowledge in some hydrogen production areas and technologies51 (water electrolysis, reformation of
ethanol and natural gas) and cell to Proton Exchange Membrane (PEM) fuel types52 for stationary and reduced size
applications, and there are even some small companies working in this field. It is worth noting that Brazil also has
pilot projects in advanced stages of bus powered by hydrogen.
In relation to natural gas, although liquefied natural gas (LNG) technology is already being used on a
commercial scale in the world, Brazil still does not have sufficient knowledge in the area and at present efforts
are mostly employed in purchasing natural gas liquefication and regasification technology. Petrobras’ Leopoldo
Américo Miguez Research and Development Center (CENPES) is trying to acquire knowledge and studies on the
state-of-the-art for LNG technologies, but there is still no industrial training in this area. There is also limited
knowledge with regard to gas to liquids (GTL) and even coal to liquids (CTL) technology in the country, and it is
more developed at the CENPES, although some universities and other research centers also have knowledge, but
there is no industrial training in Brazil yet.
The technology to produce ethanol from sugarcane glucose is considerably advanced in the country and it is
a technology that Brazil can certainly transfer to other countries, whether developed or developing, including the
know-how for integrating it to the oil byproducts system, as will be detailed in the next subsection on International
51 See Item on Hydrogen in Volume II of this National Comunication.52 The Proton Exchange Membrane (PEM) fuel cell uses a proton conducting polymer membrane. An electrode is attached to each side, which
serves as the conductor that provides or removes electric current from a system where reactions occur.
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Cooperation. Second-generation ethanol – the lignocellulosic ethanol53 is being produced in the country. Brazil
has several researchers and centers where most of the knowledge is concentrated, including some sugar and
alcohol industries. The Center for Bioethanol Science and Technology (CTBE) was recently created. In this area, it
is possible to say that Brazil has the possibility to transfer knowledge to developing countries and to benefit from
collaborative research with both developed and developing countries.
In relation to low temperature solar thermal energy, Brazil masters flat collector technology. It would be
important to develop other applications, such as refrigeration, air conditioning, selective surfaces, vacuum tubes
and automated manufacturing processes. Although training exists at universities, coordinated efforts and greater
interaction with companies are yet to be observed. It is also necessary to promote the modernization of domestic
industry. Brazil will benefit from greater cooperation with other countries, like China and Israel, for example.
Brazil is currently the world’s largest producer of farmed charcoal and it stands out in mastering the technology,
although it needs to incorporate advances, mainly to increase efficiency in the carbonization process. Therefore,
the country would have the opportunity to transfer technology to other countries that depend heavily on charcoal,
especially in Latin America, Africa and Asia. There are national and international companies in the country dedicated
to producing charcoal for the steel industry.
The country has research groups active in the whole production chain of biodiesel and there are opportunities
for the transfer of national technology abroad, as well as greater exchange and cooperation with other major
world producers, such as Germany. Brazil also has an industrial sector capable of producing biodiesel with national
capital companies.
In relation to CO2 capture and storage technologies, although still in initial R&D stages, the country is interested
in the area. In 2006, Petrobras created a Thematic Network for Sequestering Carbon and Climate Change and set up
the Carbon Storage Research Center (CEPAC). All of the technologies involved in Carbon Capture and Storage (CCS)
(capture, transport, storage and monitoring) deserve attention and require cooperation with other countries. The
country also expects to develop carbon capture and storage from renewable sources (Renewable CO2 Capture and
Storage – RCCS) with the objective of sequestering and storing CO2 from the sugar fermentation process, especially
in ethanol production, underground.
Smart grid related technologies are being developed around the world. Aspects such as interconnection for
distributed generation, storage systems, real time load management systems and automation, among others, are
important areas for developing these technologies. Brazil already has some knowledge, with good training at
universities, at CENPES and at the Electric Energy Research Center (CEPEL). Expansion of this knowledge will be
fundamental for encouraging greater deployment of sources such as photovoltaic solar, wind and hydrogen, and
therefore, transfer of technology and knowledge from developed countries is desired.
There has recently been great interest in lithium batteries for automotive purposes, which could help disseminate
electric vehicles. This technology is in its demonstration phase and is strongly mastered by multinational companies
related to the automotive industry. Brazil has both the capacity and companies that manufacture several types of
battery and which could, if duly trained, also master this new technology.
53 It is the ethanol produced from every type of plant biomass, including organic waste. Bagasse and straw are excellent alternatives for Brazil in the production of lignocellulosic ethanol. These technologies include the thermochemical (FisherTropsh) and biochemical (acid hydrolysis, enzymatic hydrolysis) routes for biofuel production.
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As for social technologies, for many years Brazil has invested in some technologies that were capable of
transforming the energy market with important social impact. An example of this is the introduction of LPG to
replace wood, as well as sugarcane ethanol. There were concerns related to transforming the existing market,
creating suppliers, distributors and points-of-sale for the new stoves, and to subsequently consolidate the market.
There are nearly two billion people in the world who still use wood for cooking. This is an opportunity to take this
know-how to those regions, as well as other cleaner fuels for this final purpose, such as ethanol, which could also
be produced in small distilleries (another technology mastered by the country).
Brazil has invested nearly R$ 100 million in energy efficiency programs for the low-income population. These
programs have been conducted by the electricity concessionaires and have contributed towards stimulating the
domestic market for suppliers of more efficient equipment such as lamps, refrigerators and solar heaters for
household use. These programs are being developed for the urban and peri-urban populations in situations of
great logistical difficulty. Thus, there is know-how for implementing programs of this sort on a large scale, which
could be transferred to other developing countries54.
It is worth emphasizing that there is still a need to develop more research geared towards the transportation
sector, especially in relation to hydrogen-driven bus technology and flex fuel technologies, particularly those aimed
at heavy vehicles.
2.3.2. International Cooperation
Brazil gives special importance to international cooperation, understanding that the exchange of experiences
and of knowledge among developing countries creates the feeling of solidarity and responsibility among peoples,
benefiting all parts involved in the cooperation. Technical cooperation projects prove to be efficient promoters
of social development and represent the efforts by many professionals, demonstrating that with drive and
political will it is possible to carry out activities with important socioeconomic value toward the mitigation and
adaptation to global climate change.
This subsection focuses on the main joint initiatives and partnerships of Brazil with other countries
in the area of: renewable energy sources, climate modeling and studies of impacts, vulnerability and
adaptation to global climate change, agricultural technologies for adaptation and promotion of food and
nutritional security, management of water resources and the promotion of water security in the context of
global climate change.
54 See Volume II of this National Communication.
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2.3.2.1. Promotion of the production of renewable energy sources
Biofuels55
The nature of the theme leads to the leadership of the Ministry of Foreign Affairs (MRE) in international
negotiations. Therefore, this Ministry created the Division of New and Renewable Energy Resources, responsible
for proposing guidelines for foreign policy and coordinating the participation of the Brazilian government in
bilateral and regional negotiations and in international organizations on the subject. This way, the MRE has
participated in multilateral forums, such as, for example, the Global Bioenergy Partnership, which aims at
creating a set of indicators of environmental, social and economic sustainability for biofuels. The objective
is that the agreed indicators may serve as basis for the public policies of bioenergy in countries that still do
not have legal framework or wishing to reform the already existing one. In the structure of the MRE it is also
important to mention the Brazilian Cooperation Agency (ABC), which coordinates the Brazilian international
technical cooperation programs and projects through its General Coordination of Cooperation in Agriculture,
Energy, Biofuels and the Environment.
Under the coordination of the MRE, other ministries participate in the negotiations and cooperation activities.
In the case of the Ministry of Mines and Energy, the Department of Renewable Fuels stands out, and is responsible
in Brazil for the supervision of the use of resources for the promotion of renewable fuels and for the monitoring,
fomenting and supporting of activities of research and technological development in the industry. By the Ministry of
Agriculture, the General Coordination of Agroenergy and the Brazilian Agricultural Research Corporation (Embrapa),
through its International Affairs Office and the Embrapa Agroenergy56, stand out.
Embrapa is a technology diffuser for the production and commercialization of sugar cane and ethanol through its
international area, and it coordinates the work of two of its other areas. Embrapa Tabuleiros Costeiros is responsible
for projects directed to the system of production of sugar cane and ethanol – soil fertility, irrigation, agroecological
zoning, and biological control, among others. There, African technicians and agronomists get training courses in
production of sugar cane and ethanol promoted and financed by the Brazilian government. Embrapa Agroenergy
responds for the technology transfer of bioenergy, from sugar cane and other raw materials, as well as projects of
common interest to the partner countries. The Chief of Staff Office, as well as the Ministries of Science, Technology
and Innovation (General Coordination of Sectoral Technologies) and Development, Industry and Foreign Trade
(Secretariat of Innovation) are also participants of these activities.
The National Bank for Economic and Social Development (BNDES) plays an important role in the implementation of
international agreements resulting from these processes of negotiation. The BNDES finances the internationalization
of Brazilian companies through the Line of Foreign Direct Investment, created in June 2005. The sector of agrofuels
is considered a priority in the policy of internationalization. Africa is a preferred continent for these investments, but
55 The study by Sergio Schlesinger (2012), “Cooperação e Investimentos Internacionais do Brasil: a internacionalização do etanol e do biodiesel” is an important source of research of this subsection and some passages quoted here are taken from the full publication.
56 In 2011, the National Congress passed a Provisional Measure by the Executive Government, transformed into law, granting Embrapa the autonomy to operate outside the country. The new law aims at facilitating the international cooperation and the transfer of tropical technology to other countries, especially in Africa and Latin America. Embrapa has offices in Ghana (Embrapa Africa), Panama (Embrapa Americas) and Venezuela.
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under the guidance of its Research Department and Operations, the BNDES has been promoting the implementation
of studies and research on the viability of the production of agrofuels in other countries.
It is through this institutional structure created for the promotion of the production of biofuels in partner
countries that Brazil formalized a series of agreements and memoranda of understanding for cooperation, and
also established the Pro-Renova, the Structured Program of Support to other Developing Countries in the Area of
Renewable Energies.
In 2006, Brazil and the United States, in partnership with the Inter-American Development Bank (IDB), together
created the Inter-American Commission of Ethanol, with the objective of spreading the use of this fuel, also defining
policies for the creation of a world market of the product. The Memorandum of Understanding on Biofuels, signed
in 2007, was an outcome of this commission and, despite mentioning the biodiesel; it focuses principally on the
issues relating to ethanol.
At the bilateral level, the focus is on research and technological development for new generation biofuels,
sustainability of ethanol and production standards. At the global scope, the Memorandum provides for the expansion
of the market through the establishment of uniform standards and rules. In order to achieve this objective, a joint
action was defined within the framework of the International Biofuels Forum, a Brazilian initiative launched in
March 2007 at the United Nations Organization. The Forum brings together, besides Brazil, South Africa, China,
the United States, India and the European Commission, and has as its main objective transforming ethanol and
biodiesel into commodities.
By means of the same memorandum, Brazil and the United States declared their intention to work together
to bring the benefits of biofuels to third countries, selected by means of feasibility studies and technical
assistance aimed at stimulating the private sector to invest in biofuels. In Brazil, studies were performed
on the viability of productive biofuels in seven Latin American countries and also technical and economic
feasibility studies for the production of ethanol in the following countries: El Salvador, Haiti, Dominican
Republic, Saint Kitts and Nevis and Senegal.
In 2007, Brazil signed a Memorandum of Understanding in the Area of Biofuels with the West African Economic
and Monetary Union (UEMOA), a regional organization that involves eight countries in West Africa (Benin, Burkina
Faso, Ivory Coast, Guinea-Bissau, Mali, Niger, Senegal and Togo). The Memorandum aims at the preparation of
feasibility studies for the production and use of biofuels in the countries that are part of the economic bloc in
West Africa. In February 2011, the MRE and the BNDES signed a technical cooperation agreement for the purpose
of facilitating studies, in order to identify areas suitable for the cultivation of the main raw materials used in the
production of agrofuels. The studies cover various aspects, such as regulatory framework, legislation related to
labor, land and tax areas and intellectual property. They should also result in the indication of Brazilian suppliers
in the areas of services and equipment technology.
In addition to that, in April 2008, Brazil signed a Memorandum of Understanding with the Netherlands on
Cooperation in the area of Bioenergy, including biofuels, where the creation of an international market for biofuels
is emphasized. One of the repercussions of this memorandum is the involvement of the Union of Sugar Cane
Industry (Unica), in the search for the expansion of the cooperation between both countries to develop new
products extracted from sugar cane. Another one is a similar memorandum concerning the engagement between
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the Ministry of Science, Technology and Innovation in Brazil and the Ministry of Agriculture and Foreign Trade in
the Netherlands in initiatives for scientific and technological cooperation and innovation.
In 2009 a joint initiative of Brazil and the European Union for trilateral cooperation with African countries in
renewable energy was formalized. This initiative is mentioned explicitly in the Joint Declaration of the III Brazil-
EU Summit, in Stockholm, in October 2009. There are two main lines of action resulting from this cooperation:
preparation of feasibility studies for the production of biofuels and implementation of projects based on the
conclusions of studies. Kenya and Mozambique were the first countries participating, and the Getulio Vargas
Foundation (FGV) was hired to perform the studies in Mozambique in 2011.
There is also a series of other memorandum of understanding on the subject in recent years. According to the
“Balanço de Política Externa 2003/2010” (Foreign Policy Balance 2003/2010), published by the MRE, more than
40 memoranda of understanding for cooperation on biofuels have been signed in recent years. In addition, with
Mercosur, there is significant progress with regard to the harmonization of standards and technical standards in
progress within the framework of the Ad Hoc Group on Biofuels. And, within the framework of the India-Brazil-
South Africa Dialogue Forum, a Memorandum of Understanding between these three members was established,
resulting in the Trilateral Task Force on Biofuels.
The Structured Program of Support to other Developing Countries in the Area of Renewable Energies
(Pro-Renova), launched in 2009, aims at creating enduring bases for the wide range of actions in Brazil with
developing countries in the area of renewable energies, especially in Africa.
The developments in the international interest on the theme contributed to strengthen, on concrete foundations,
the South-South cooperation and also promote the sustainable development of Brazil’s partner-countries. In
addition, specifically as regards the bioenergy, the understandings are fundamental for the establishment of new
centers of production and consumption, a precondition for the “commoditization” of the product and the consequent
development of an international market, ensuring the inclusion of bioenergy in the global energy mix.
The process of drafting the Pro-Renova involved several areas of the government and observed the following
assumptions: collective treatment (because the increasing demand for talks and actions related to this theme
makes the MRE and the other Brazilian governmental institutions involved with the theme struggle to meet the
demands of the international partners); selection based on geographic, linguistic and political criteria; association
with the private sector; structuring pilot projects; and possible involvement of international organizations.
According to a study prepared by the International Renewable Energy Agency (IRENA, 2014) about the adoption
panel of advanced renewable energy technologies in developing countries, Brazil’s experience with bioethanol
offers great opportunity of shared learning through South-South and triangular cooperation for the development
of technologies of this energy resource in Africa, particularly regarding to policy combinations that promote
both the supply (successful strategies of production), and demand (transport infrastructure development and
instruments). This collaboration recovers and strengthens the historical presence of the Brazilian cooperation in
Africa, traditionally in the areas of agricultural innovation, food and nutritional security, education and health.
The study identified Brazil as a key partner for the technology transfer of Bioethanol for African countries,
not only due to the successful Brazilian experience in the production of Bioethanol, but also because of the
climate and soil similarities, the knowledge generated in the country for the development of its agricultural
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sector, the historical and cultural affinities that allow Brazil to better understand ways to develop new industry
in the African context, and the economic challenges common to developing countries when local industries
are being developed.
Currently, 37 countries in Africa are producers of sugarcane and there is a good opportunity to begin the
production of ethanol from molasses as a first step, and assess the possibility of expansion at the level of each
country, including scale, target markets and the necessary social, economic and environmental guarantees.
The current approach and strategy of the South-South Cooperation adopted by Brazil is, according to the study,
an interesting opportunity for African countries. It can help increase the institutional capacity of promotion of a
Bioethanol industry and encourage a more closely technical cooperation to increase the opportunities for broader
solutions, providing a vision from the “south” to the “south”.
However, it is important to emphasize that the paths and strategies to develop a bioethanol industry and commerce
in African countries should be differentiated according to the specific characteristics of the country: whether the country
is an importer of sugar and petroleum by-products, or whether it is an exporter of sugar or an oil importer country.
As many African countries are small in economic terms, in order for them to have their own technical and
scientific infrastructure for bioethanol programs, in some cases, a regional approach may be desirable. The regional
collaboration for technology of adoption and development of bioethanol can help integrate the region and
subsequently facilitate a regional market.
New alternative sources of energy and energy efficiency
It is important to highlight that it is not only in biofuels that Brazil has been securing international cooperation
initiatives in the field of renewable energy. By means of approaching the so-called BRICS, acronym that represents
the following countries: Brazil, Russia, India, China and South Africa, partnerships have been entered into for the
cooperation and encouragement of the promotion of solar and wind power, for example, with the exchange of
information and technologies on the production of such sources. In 2013, the BNDES signed an agreement that
narrows relations between the Brazilian bank and the development institutions of BRICS aimed at the collaboration
between the countries on initiatives for the promotion of a low-carbon economy57.
The Agreement of Multilateral Cooperation and Co-Financing for the Sustainable Development of BRICS
seeks to establish the foundations for the coordination and exchange of information between institutions for the
development of the five countries in order to improve its mechanisms for sustainable development and encourage
partnerships in this area. Agreements may be signed to finance projects related to sustainability and the low-carbon
economy in accordance with the interest and the rules of each institution. Examples are: infrastructure projects
aligned to the principles of sustainable development or mitigation of and adaptation to climate change, as well
as investments in renewable energy and energy efficiency or that may promote sustainable uses of biodiversity,
ecosystems and regeneration of natural resources, as well as actions for the development, dissemination and
transfer of environmentally sustainable technologies.
57 The agreements were signed during the 5th Summit of the BRICS, which took place in the city of Durban, South Africa, in 2013. In addition to the BNDES, the signatory institutions were the Bank of Development and Foreign Economic Affairs of Russia (Vnesheconombank), the Exim-Bank of India, the China Bank Development (CBD) and the Development Bank of Southern Africa (DBSA).
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Brazil also signed a technical-academic cooperation with China in the area of renewable energy. The China-
Brazil Center on Climate Change and Innovative Technologies for Energy is the result of a partnership between the
Institute Alberto Luiz Coimbra – Graduate School and Research in Engineering (COPPE) at the Federal University of
Rio de Janeiro and the Tsinghua University, the main engineering educational Chinese institution. The two countries
expect to obtain benefits of this partnership, especially in renewable energy. China will contribute to the transfer of
technology to Brazil related to towers of wind turbines, in the wind power area, solar panels, with emphasis on the
photovoltaic and use of palm tree to manufacture biodiesel by means of a technology that the Chinese developed
with Denmark. Brazil, in turn, can share knowledge and technologies of an area in which it is recognized as a reference,
and on which China is concerned, which is the work that COPPE develops on energy generation from waves and tides.
Through the Brazil-Germany Cooperation for Sustainable Development, these two countries established a
partnership with focus on climate protection and the preservation of biodiversity. More specifically, this Cooperation
focuses on Fostering Renewable Energy and Energy Efficiency and the Protection and Sustainable Management of
the Tropical Forests of the Amazon.
The cooperation for the promotion of renewable energies and energy efficiency includes the creation and
improvement of productive general conditions, as well as the expansion of funding opportunities for renewable
energy and projects related to energy efficiency. As part of the commitments of the Brazil-Germany Energy
Agreement, the Brazil-Germany Cooperation for the Sustainable Development contributes to the reduction of the
energy demand associated with the economic growth; guarantee of the energy supply security without increasing
greenhouse gas emissions resulting from its generation; creation of new jobs through investments in sustainable
technologies for energy efficiency and energy generation.
Some concrete cooperation initiatives have already been undertaken. For example, the German Agency for
Sustainable Development (GIZ), supported the first project of social housing in Brazil in which hot water is obtained
through thermal-solar systems.
Since 2010, the German bank KfW and GIZ have been accompanying and encouraging the installation of solar
energy systems on the roof of a 2014 FIFA World Cup stadium, with a total capacity of 2.5 MW.
The state energy company, Eletrosul, develops a pilot project for the installation of the largest photovoltaic plant
on the roof of a building in Brazil and, with a maximum power of 1 megawatt-peak (MWp), which will increase by 40%
the total installed capacity of photovoltaic energy coupled to the electrical grid in the country. In this pilot project, GIZ
and the German development bank KfW support the Brazilian Energy Company Eletrosul on a large scale. Delegated
by the German Ministry of Environment, Nature Conservation and Nuclear Safety, the KfW helps the project with 3
million Euros. GIZ contributes with consulting services in the amount of approximately 0.44 million Euros.
Supported by the German Cooperation for Sustainable Development, the National Bank for Economic and Social
Development (BNDES) promotes the wind energy industry through loans with subsidized interest rates. For the
financing of wind farms, the German development bank KfW contributed with a loan with subsidized interest
rates of 135 million dollars. Together with the own resources of the BNDES and private investors, the investments
reached a total amount of 426 million Euros. Thus, a total of four wind farms will be financed, with a total installed
capacity of 120 megawatts. Three of the wind farms (“Vale dos Ventos”, “Beberibe” and “Pedra do Sal”) are close to the
coast in the northeast of Brazil; the fourth one (“Gargaú”) is in the State of Rio de Janeiro.
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2.3.2.2. Climate modeling and research networks in impacts, vulnerabilities and risks to global climate changes
As detailed58 Brazil has shared knowledge, methodologies and technologies in the field of climate modeling
and studies of impacts, vulnerabilities, and risks of global climate change. These actions occur through Rede CLIMA
and the National Institute of Science and Technology for Climate Change, headquartered at the National Institute
for Space Research (INPE). The diffusion of these actions is given by means of collaborative studies in research and
training networks for modeling regional future climate change scenarios that INPE provides for other countries, for
example, by means of courses offered to countries of Latin America and the Caribbean on the Eta Regional Model
for Weather Forecasting, Climate Projections and Scenarios of Climate Change.
The National Institute of Science and Technology for Climate Change (INCT) received financing of R$ 7.2 million over
three years from the National Council for Scientific and Technological Development (CNPq) and the Research Foundation
of the State of São Paulo (FAPESP) and with this inflow is deploying and developing a comprehensive network of
interdisciplinary research on climate change. It is grounded on the cooperation of 76 national research groups in all
regions of the country and 16 international research groups in Argentina, Chile, the United States, Europe, Japan and
India, involving a total of over 400 researchers, students and technicians, and is the largest environmental research
network ever implemented in Brazil. The INCT mirrors the structure of the Intergovernmental Panel on Climate Change
and is organized in three main scientific areas: (i) scientific basis of the global environmental changes; (ii) studies
of impacts, adaptation and vulnerability; and (iii) mitigation. In addition, it has a strong component of technological
innovation in three areas: models of the climate system, geo-sensing and system on the prevention of natural disasters.
2.3.2.3. Brazilian Cooperation Agency
The Brazilian Cooperation Agency (ABC), part of the structure of the Ministry of Foreign Affairs, is responsible
for the negotiation, coordination, implementation and monitoring of Brazilian technical cooperation programs
and projects carried out on the basis of agreements signed by Brazil with other countries and international
organizations. In order to handle its mission, ABC is guided by the Ministry’s external policy and the national
development priorities, defined in the Government sectoral plans and programs. A query in the projects portfolio
promoted by Brazil reveals59 that the country has contributed with a series of cooperations, mainly South-South
cooperations, which strengthen adaptation and mitigation actions in partner countries, including initiatives to:
Promote Alternative Crops for the Production of Biofuels (Regions of Ucayaly and San Martin in Peru); Strengthen
the Forest Public Management for the monitoring of deforestation in Bolivia; Management and Monitoring of
Forest Ecosystems to contribute to the fight against erosion and desertification in Algeria; Support Program for the
Strengthening of the Process of Economic Integration and Sustainable Development of Mercosur; Support for the
Strengthening of Technical and Vocational Education in Mexico in the area of Renewable Energy, Integrated and
Sustainable Development of the Touil Watershed (Algeria), among others.
58 See item 2.2 herein on “Capacity Building”. 59 Refer to http://www.abc.gov.br/Projetos/pesquisa
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It is worth noting that the Brazilian Agricultural Research Corporation (Embrapa), has promoted several
partnerships with the African countries to mainly transfer agricultural technologies and the production of biofuels.
In the case of agricultural technologies, these are generally directed towards improving the agricultural production
of several important crops for local food and nutritional security, with better management of the natural resources,
increased agricultural productivity and product diversification that, in an indirect way, contribute to increase the
resilience of local agricultural systems due to the global climate change impacts. The African agricultural and
livestock sector is considered as one of those, which may be more severely affected negatively by global climate
changes worldwide.
CHAPTER III RELEVANT INSTITUTIONAL
ARRANGEMENTS FOR THE IMPLEMENTATION OF THE
CONVENTION IN BRAZIL
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3.1. INSTITUTIONAL FRAMEWORK FOR THE IMPLEMENTATION OF THE CONVENTION IN BRAZIL
Brazil has always played a leadership role in the arena of global environmental issues, following the example of
the United Nations Conference on Environment and Development, also known as Rio-92, held in Rio de Janeiro in 1992.
In 2009, the Brazilian proposal to host the Rio+20 Conference was adopted by the UN General Assembly, at its 64th
session and, once again, the city of Rio de Janeiro held the most important environmental conference to date, in which
the political commitment of nations to the sustainable development was discussed. Twenty years after the completion
of the Rio-92, it was time to assess the progress made by countries since the first conference, identify gaps in the
implementation of the decisions adopted by the main summits on the subject, and promote the discussion of new and
emerging topics, as the Green Economy or the Institutional Structure for Sustainable Development.
Brazil was the first country to sign the United Nations Framework Convention on Climate Change (UNFCCC) at
Rio-92. Later, 194 other Parties (including the European Union) joined the Convention, which is an indication of its
virtually universal nature. The Convention entered into force on March 21, 1994, ninety days after the deposit of the
fiftieth instrument of ratification by the countries’ parliaments. In Brazil, the National Congress ratified the UNFCCC
on February 28, 1994, and it entered into force ninety days later, on May 29 of that same year.
The Kyoto Protocol, created in 1997, is a complementary treaty to the United Nations Framework Convention
on Climate Change. It defined emissions reduction targets for developed countries (Annex I) and established
measures so that the necessary growth of countries listed as Non-Annex I was limited by the introduction of
appropriate measures, counting on financial resources and access to technology from industrialized countries.
Brazil ractified the Protocol on August 23, 2002. The Protocol was approved domestically by means of Legislative
Decree No. 144 of 2002.
Since then, Brazil created a set of regulatory frameworks and management tools which include: the National
Policy on Climate Change (PNMC – Law No. 12,187/2009) and its set of sectoral plans which will be detailed in
Volume II of this Third National Communication. The PNMC established the voluntary commitment to cut between
36.1% and 38.9% of projected emissions by 2020. Independent reports by the academia and civil society, such as
the Union of Concerned Scientists (UCS), show that Brazil is the country with the world’s biggest reductions in
deforestation and emissions in recent times (UCS, 2014).
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When it comes to financing for actions for mitigation and adaptation, Brazil created the Climate Fund and the Amazon
Fund. The Climate Fund has the purpose of ensuring resources to support projects or studies and for the financing of
projects that have as their objective the mitigation of climate change. The Amazon Fund aims at raising donations for non-
recoverable investments in actions of prevention, monitoring and combating deforestation and to promote the conservation
and sustainable use of forests, especially the Amazon biome. The Amazon Fund has already got resources of R$ 1.7 billion60.
In order to meet the broad and diversified set of initiatives for the Brazilian mitigation and adaptation, the
government created a governance structure in which climate change is a cross-cutting and bonding agent of a
work agenda that involves collective and coordinated production of various ministries and government agencies,
including the actions that are being undertaken by levels of subnational governance of the states, as shown below.
It is through this structure and with its own human resources that Brazil has been internalizing the production
of knowledge in the scientific field of climate monitoring and evaluation of the vulnerabilities and risks to climate
change, and public policies, to promote an action of coping with efficient and integrated actions from the negative
effects of global warming.
3.1.1. The General Coordination of Global Climate Change
In response to the mandate granted by Interministerial Commission for Sustainable Development (CIDES)
(extinct by a decree dated 3 February 2004, which created the Commission of Policies for Sustainable Development
and the National Agenda 21, under the Council of Government), the MCTI created, within its own structure, the
General Coordination of Global Climate Change (CGMC) in August 1994.
During its first years of operations, the main task of the CGMC was to coordinate the preparation of Brazil’s
Initial National Communication to the United Nations Framework Convention on Climate Change, according
to those commitments assumed under the Convention. The elaboration of the National Communication is a
multidisciplinary effort, which involved in its first edition around 150 institutions and 700 specialists from every
region of the country. The Communication poses a great challenge, taking into account the need to build national
capacity in the area, since in many cases it represents pioneer and complex work.
Due to its scope and specificity, and considering that emissions of the main greenhouse gases (CO2, CH4, N2O,
HFCs, CF4, C2F6, SF6) from the energy, industrial, forestry, agricultural and livestock and waste treatment sectors
are addressed, the preparation of Brazil’s Inventory of Anthropogenic Greenhouse Gas Emissions by Sources and
Removals by Sinks of Greenhouse Gases Not Controlled by the Montreal Protocol involves a number of ministries
(Ministry of the Environment; Ministry of Agriculture, Livestock and Food Supply; Ministry of Mines and Energy;
Ministry of Development, Industry and Foreign Trade; Ministry of Foreign Affairs, etc.), federal institutions (Petrobras,
Eletrobrás, Embrapa, INPE, among others) and state institutions (Cetesb, Cemig, among others), trade associations
(ABAL, ABEGÁS, ABIQUIM, Bracelpa, Unica, Copersucar, White Martins, among others), non-governmental
organizations (Funcate, Fundação José Bonifácio, among others), universities and research centers (COPPE/UFRJ,
USP, UFRS, UnB, among others).
60 The Climate Fund and the Amazon Fund, as well as their governance structures, will be approached in Volume II of this paper.
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Brazil concluded and published its initial inventory in 2004. National greenhouse gas emissions covering the
1990-1994 period were inventoried, and they were summarized based on 15 reference studies. In the Second
National Communication, submitted in 2010 to the UNFCCC, the values for the other years in the 1990 to 2005
period were also included. The information presented in the initial inventory was updated for the years 1990 to
1994. In this Third Communication the same process of updating previous information and new information about
the Brazilian emissions until the year 2010 is followed.
The International Energy Agency (IEA) compared the inventories from the main developing countries. The IEA
evaluation of Brazil’s inventory was extremely positive, thus underscoring that the inventory’s main qualities are
transparency, development of time series and use of more elaborate national emission factors. From an institutional
perspective, this reflects the fact that Brazil was able to set up a competent structure for elaborating inventories.
The CGMC is part of the Brazilian delegation to negotiations under the UNFCCC and its subsidiary bodies, as
well as follows up reviews of assessment reports and the meetings of the Intergovernmental Panel on Climate
Change (IPCC).
Since 1995, the CGMC has participated in discussions of technical and scientific issues related to the regulation
and implementation of the Protocol, in conjunction with the Ministry of Foreign Affairs.
Additionally, Brazil’s commitments under the Convention include promoting and cooperating in scientific,
technological, technical, socioeconomic and other research, in systematic observations and in the development
of a climate system database with a view to explaining and reducing or eliminating the remaining uncertainties
related to the causes, effects, magnitude and changes over time of climate change and the economic and social
consequences of various response strategies.
In order to monitor compliance with the voluntary national commitment to reduce emissions by the year
2020 (Article 12 of Law No. 12,187/2009) Article 11 of Decree No. 7,390/2010 established that, from 2012 on,
annual estimates of greenhouse gas emissions in Brazil will be published in an appropriate format to facilitate
the understanding on the part of interested segments of society. The responsibility for the preparation of these
estimates, as well as the improvement of the methodology for calculating the projection of emissions is under the
working group coordinated by the Ministry of Science, Technology and Innovation, with broad involvement of the
CGMC. Therefore, the periodic publication of annual estimates of greenhouse gas emissions in Brazil began in 2013
(BRASIL, 2013) whose scope was the period from 1990 to 2010. In other words, the annual estimates had further
developments based on the results of the II Brazilian Inventory, which covered the period from 1990 to 2005,
extending the assessed period up to 2010.
The CGMC also coordinates the construction of a computer system for the preparation and dissemination of
information on greenhouse gas emissions, the National Emissions Registry System (SIRENE) (described in item
2.1.1.1), whose centerpiece is a database based on a system of management, with the possibility of access via the
internet, which aimed at the management of information related to anthropogenic emissions of GHG in Brazil.
To contribute to discussions of actions for the mitigation of the Brazilian emissions, the CGMC coordinates the
project “Opções de Mitigação das Emissões de Gases de Efeito Estufa em Setores-Chave do Brasil” (Mitigation Options
for Greenhouse Gas Emissions in Key Sectors of Brazil), in partnership with the United Nations Environment
Program (UNEP). The objective of this project is to assist decision-making about actions that potentially reduce
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GHG emissions in different sectors of the Brazilian economy – industry, energy, transport, residential and services,
uses of land and forests, waste management.
It is an innovative project in Brazil, since it will carry out an integrated analysis of different mitigation options,
considering the singularity of these options with its consequent economic and social implications. Another
innovative aspect is the inclusion of a scenario, which will consider, for the Brazilian context, technological learning
curves for the GHG emission reduction.
In summary, the project, which has resources from the Global Environment Facility (GEF), is performed by
means of partnerships with research institutions that are part of the Rede CLIMA, whose experts will assist in
the preparation of scenarios for mitigation. The project will estimate the potential and costs of abatement of
greenhouse gas emissions, through an integrated economic and energy analysis for the period between 2012 and
2050 of the different energy-intensive segments of the Brazilian economy. Three scenarios will be considered:
reference scenario or baseline, low carbon scenario, and low carbon scenario with innovation.
Another important area of activities of the CGMC is building public awareness of climate change related
issues. A homepage on climate change (http://www.mct.gov.br/clima) was created within the Ministry of Science
and Technology’s website (item 2.1.1) to facilitate the integration of all the experts and institutions involved.
This homepage serves as a forum for bringing together experts from different sectors that can accompany and
contribute to the work, as well as opening up a space for society in discussing climate change related issues.
Furthermore, the CGCM promotes and supports events on global climate change in the various areas related to
the issue, and publishes and disseminates relevant information, especially regarding the Convention, the Protocol
and the IPCC. It thus seeks to develop and disclose legal, technical and scientific information, as well as participate
in discussion on global warming, its causes and impacts, aimed at building awareness among opinion leaders,
policy-makers, business leaders, students and the general public about the problem.
3.1.2. The Interministerial Commission on Global Climate Change
The perspective of the Kyoto Protocol entering into force and of the regulation of the Clean Development
Mechanism (CDM) highlighted the importance of establishing an entity within the Brazilian government that
could channel this potential towards national development priorities. Furthermore, the concern for greater
institutionalization of the climate change issue in the country due to its strategic characteristics, led to the creation61
of the Interministerial Commission on Global Climate Change (CIMGC), aimed at coordinating government actions
in this area.
Given that the Ministry of Science, Technology and Innovation had already been carrying out national activities
related to complying with Brazil’s initial commitment related to the United Nations Framework Convention on
Climate Change, this body was chosen to chair the Commission and to serve as its Executive Secretariat, since
the scientific aspects of global climate change will continue, in the foreseeable future, to dominate the political
negotiations, and scientific knowledge necessary to subsidize the discussions can be facilitated through the
61 Presidential Decree of 7 July 1999, altered by Decree of 10 January 2006.
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support instruments of this ministry. The General Coordination of Global Climate Change serves as the Executive
Secretariat of the Commission and the General Coordinator of the CGMC serves as its Executive Secretary. The
Ministry of the Environment serves as the Vice-Presidency of the Commission.
The Commission is made up of representatives of the Ministries of External Relations (MRE) and of Science,
Technology and Innovation (MCTI), which are the political and technical focal points, respectively, on global climate
change in Brazil; ministries with specific attributions and responsibilities over important sectors for greenhouse
gas emission reduction activities in Brazil, such as Agriculture, Livestock and Food Supply (MAPA); Transportation
(MT); Mines and Energy (MME); Environment (MMA); Development, Industry and Foreign Trade (MDIC); and Cities
(MCid); as well as ministries with more strategic and long-term vision, such as Planning, Budget and Management
(MPOG); Finance (MF); and the Executive Office of the Presidency of the Republic (“Casa Civil da Presidência da
República”). The decree also empowers the Commission to request the collaboration of other public or private
bodies and representative civil society organizations in carrying out its responsibilities.
The responsibilities of the Commission are:
I issue opinions, when requested, about proposals for sectoral policies, legal instruments and regulations
that contain any relevant component for mitigating global climate change and to the adaptation of the
country to its effects;
II provide support to the positions of the government in negotiations under the auspices of the Convention
and subsidiary instruments to which Brazil is a Party;
III define eligibility criteria additional to those considered by the Convention bodies responsible for the CDM,
as called for in Article 12 of Kyoto Protocol to the UNFCCC, according to national sustainable development
strategies;
IV consider opinions about projects that result in reduction of greenhouse gas emissions and that are
considered eligible under the CDM, and approve them, where appropriate; and
V coordinate activities with representative civil society organizations in order to facilitate activities of
governmental and private bodies aimed at complying with the obligations assumed by Brazil under the
Convention and the subsidiary instruments to which Brazil is a Party.
The Interministerial Commission thus represented an initial effort in the sense of bringing together government
actions related to global climate change. Besides, it is important to highlight that the Interministerial Commission
is Brazil’s Designated National Authority (DNA)62, a title provided for by the Kyoto Protocol, being in charge of
evaluating and approving project activities under the Clean Development Mechanism (CDM) in Brazil.
CDM project activities shall be elaborated in accordance with the rules defined by decision 17/CP.7 (later,
ratified by decision 3/CMP.1) that establishes CDM’s procedures and modalities, which were incorporated into the
Brazilian legal system through resolution No. 01 of the Interministerial Commission on Global Climate Change on
September 11, 2003. The CIMGC has developed and issued resolutions with the objective of incorporating approval
requirements for CDM project activities in the country that have been internationally established by the decisions
of the Conference of Parties serving as the Meeting of the Parties to the Kyoto Protocol and by its Executive Board,
as well as establish additional criteria for approving CDM project activities in Brazil. It should be pointed that the
CIMGC, considering that it was the CDM’s first DNA to be created in the world, has served as a model for creating
many other DNAs, which led to cooperation activities in this regard between Brazil and other developing countries.
62 Pursuant to Article 3, section IV, of the Presidential Decree of July 7, 1999, as amended by Decree of January 10, 2006.
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All of the eligible CDM project activities are duly reviewed by the CIMGC in relation to the projects’ contribution
criteria towards the country’s sustainable development.
All material related to the CIMGC, as well as about all CDM project activities in Brazil, is available on the
Executive Secretariat’s home page (http://www.mct.gov.br/clima), which is the CGMC. Information is also periodically
published on CDM’s status in Brazil and in the world63.
3.1.3. The Interministerial Committee on Climate Change (CIM)
In 2007, the Federal Government created the Interministerial Committee on Climate Change (CIM)64, with the
task of steering the development, implementation, monitoring and evaluation of the National Plan on Climate
Change, proposing priority actions to be implemented in the short term; supporting international coordination
needed to undertake joint activities, exchange of experiences, technology transfer and capacity building; identifying
actions needed for research and development, and proposing guidelines for the implementation and design of a
communication plan.
The Executive Office of the Presidency of the Republic coordinates the CIM and it is composed of seventeen
federal bodies. The Brazilian Climate Change Forum (FBMC)65 is, as a rule, invited to participate in the CIM
meetings. The federal bodies are as follows: Ministry of Agriculture, Livestock and Food Supply; Ministry of Science
and Technology; Ministry of Defense; Ministry of Education; Ministry of Finance; Ministry of National Integration;
Ministry of Health; Ministry of Cities; Ministry of Foreign Affairs; Ministry of Mines and Energy; Ministry of Agrarian
Development; Ministry of Development, Industry and Foreign Trade; Ministry of the Environment; Ministry of
Planning, Budget and Management; Ministry of Transportation; and the Center of Strategic Affairs of the Presidency
of the Republic.
The Executive Group on Climate Change (GEx), under the CIM, which is coordinated by the Ministry of the Environment,
was in charge of developing, implementing, monitoring and evaluating the National Plan on Climate Change.
The GEx was given the task of drafting the preliminary proposal of the National Policy on Climate Change, which
after extensive public consultation process to Brazilian society, was launched in December 2008. The GEx also
participated in the elaboration of eight Sectoral Plans for Mitigation and Adaptation already concluded and their
respective public consultation processes. They are: 1) Action Plan for the Prevention and Control of Deforestation
in the Amazon Region (PPCDAm); 2) Action Plan for the Prevention and Control of Deforestation in the Cerrado
(PPCerrado); 3) Ten-Year Plan for Energy (PDE); 4) Plan for Agriculture of Low Carbon (ABC Plan); 5) Sectoral Plan for
Mitigation and Adaptation to Climate Change for the consolidation of a Low Carbon Economy in the Manufacturing
Industry (Industry Plan); 6) Low Carbon Mining Plan (PMBC); 7) Sectoral Plan of Transport and Urban Mobility for
Mitigation and Adaptation to Climate Change (PSTM); 8) Health Sectoral Plan for Mitigation and Adaptation to
Climate Change (PSMC Saúde)66.
63 See Volume II of this National Communication, section called “Project Activities in the Scope of Clean Development Mechanism – CDM in Brazil.64 Presidential Decree No. 6,263, of 21 November 2007.65 For more information, refer to item 2.1.2 herein. 66 For description of Sector Plans Mitigation and Adaptation to Climate Change, see Volume II herein.
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The sectoral plans served as a basis for the revision of the National Plan on Climate Change, also submitted to
public consultation from October 01 to November 08, 2013, for receiving suggestions, analyzed by the GEx, which
decides on their incorporation into the text, to the publication of the final version of the new National Plan on
Climate Change. The systematic review of instruments of the Brazilian public policy focused on the mitigation and
adaptation to climate change aims at improving them in the light of advances in terms of scientific and technical
knowledge about the themes that guide them.
GEx was also responsible for drawing up a preliminary proposal of the general objectives, principles and
guidelines for the National Policy on Climate Change, transformed into Law No. 12,187, of December 29, 200967.
The National Plan on Climate Change and the Sectoral Plans for mitigation and adaptation are instruments of
the National Policy on Climate Change. In the formulation of these plans, the contributions of the Brazilian Panel
on Climate Change (PBMC) have been important. The PBMC is the national scientific body whose objective is to
provide the decision-makers and the society with technical-scientific information on global climate change68.
Looking at the fact that the Units of the Federation have been proactive in the search for solutions to climate
change mitigation and adaptation, including the already existing 15 state laws that have officially created policies
on climate change in each state (ETHOS INSTITUTE, 2013), in February 2013 the Federal Climate Articulation
Group (NAFC) was created within the framework of GEx. The NAFC counts with the participation of state public
managers that work with the climate agenda and various organizations of the Federal Government. Its activities
are supported by the work agenda of GEx. The objective of the NAFC is to integrate the various sectoral policies
that keep relation with the subject of climate change, particularly with respect to their impacts, integrate the
state policies on climate change among themselves and in relation to the National Policy on Climate Change, and
promote the exchange of experiences between the government bodies. The expected results with the installation of
the Group are the identification of priority issues to be addressed and the formulation of an agenda of articulation
work. The Ministry of the Environment and the Executive Office of the Presidency of the Republic (“Casa Civil da
Presidência da República”) carry out the secretariat of the NAFC.
Under the GEx and the NAFC, working groups may be established for discussion of specific issues of the
National Policy on Climate Change (Figure 3.1). Currently, Brazil advances in the formulation of its National Plan
for Adaptation through two Working Groups on Adaptation, which is expected to be completed by 2015.
67 Same as the previous one, for a description of the National Policy on Climate Change, in the subsection with this title. 68 See item 2.2.3 herein.
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FIGURE 3.1 Working groups set up under the GEx
NAME PURPOSE COORDINATION MEMBERSInterministerial Working Group (IWG)
IWG on Carbon Market
Assess feasibility and requirements
for the implementation of a Brazilian
Emissions Reduction Market
Secretariat of Economic Policies/Finance
Ministry (SPE-MF)
Representatives of MMA, MDIC,
MCTI, MRE, MPOG and the
Executive Office of the Presidency
of the Republic.
IWG on REDD+
Prepare the Brazilian REDD+ strategy
based on the discussion of the
following themes: financial architecture,
technical aspects, investments in
governance together with federal
entities and positive incentives to
economic agents.
Secretariat of Climate Change and
Environmental Quality (MMA)
Representatives of MMA, MCTI,
MRE, Secretariat of Strategic
Affairs (SAE), Executive Office of
the Presidency of the Republic,
Brazilian Forest Service (SFB),
National Indian Foundation
(FUNAI), Ministry of Agrarian
Development (MDA), MAPA and MF.
Working Group (WG)
WG on Monitoring
Prepare the strategy to monitor the
reduction of GHG associated with
Sectoral Plans on Adaptation and
Mitigation to Climate Change
Secretariat of Climate Change and
Environmental Quality (MMA)
Representatives of Ministries that
are part of the PNMC.
WG on Adaptation
Propose and prepare a set of
government measures on adaptation to
climate change for the drafting of the
National Adaption Plan by 2015
Secretariat of Climate Change and
Environmental Quality (MMA) and General
Coordination of Global Climate Change
(MCTI)
Representatives of members of
the GEx, invited agencies working
with the agenda of adaptation
to climate change in the Federal
Government, FBMC*
Federal Climate Articulation Group (NAFC) Working Group (WG)
WG on Emissions Report
Provide technical recommendations for
the creation of a National Reporting
System on Emissions and Removals by
Sink
Secretariat of Economic Policies/Finance
Ministry (SPE-MF) and Government of the
state of Rio de Janeiro/Green Economy
Secretariat
State government representatives,
CTPIn, MAPA, Ibama and
organizations of the civil society
and academia.
WG Inventory
Proceed with breaking down data and
results for national GHG emissions
per state, and, to the extent possible,
municipalities. Improve the review
process of the Brazilian Inventory
through the contribution of state
representatives as part of a quality
control and guarantee process.
General Coordination of Global Climate
Change (MCTI) and Government of the State
of São Paulo/Secretariat of the Environment
State government representatives
and MCTI
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NAME PURPOSE COORDINATION MEMBERS
WG Adaptation
Develop technical recommendations
for a federative conciliation about
adaptation so that Federal and State
Governments can promote resilience in
a coordinated and cooperative way.
Secretariat of Climate Change and
Environmental Quality (MMA) and
Government of the State of Minas Gerais/
Energy and Climate Change Management of
the State Environmental Foundation (FEAM)
State government representatives
and MMA
*The WG on Adaptation works based on support and engagement of thematic networks composed of experts in charge of elaborating technical documents with a sector-wise approach, and, whenever possible, a territorial approach. Government, research institutions and universities, civil society and economic sectors representatives have been invited to take part of these networks.
Source: Based on data available on the internet page of the Ministry of the Environment 69
3.1.4. Secretariat of Climate Change and Environmental Quality
It is important to emphasize that there are several components of the Ministry of the Environment that promote
programs and initiatives related to the mitigation of climate change and the increase of local resilience to its
negative effects. The Secretariat of Biodiversity and Forests and the Secretariat of Water Resources and the Urban
Environment are some examples of such departments. There is, however, a specific department in the ministry, the
Secretariat of Climate Change and Environmental Quality, created to deal with climate change, which reflects the
concern about the national climate agenda.
The Secretariat of Climate Change and Environmental Quality is responsible, among other things, for coordinating
GEx and the Managing Committee of the Climate Fund, and is composed of three departments: Department of
Climate Change, Department of Licensing and Environmental Assessment, Department of Environmental Quality
in the Industry. There are several tasks which are incumbent upon the Department of Climate Change, of which
the most notable ones are: support and assist the various units of the Ministry of Environment and linked entities
in matters related to the global climate change; coordinate meetings aimed at preparing the Ministry’s position in
relation to global climate change; develop studies for the protection of the global climate system and the ozone
layer; monitor and technically subsidize the Interministerial Commission on Global Climate Change, among others.
The Secretariat of Climate Change and Environmental Quality is the main component of the Ministry of the
Environment that participates in the meetings of the GEx and the working groups set up under this executive
group.
69 Available at: <www.mma.gov.br/clima/grupo-executivo-sobre-mudanca-do-clima>
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3.2. INSTITUTIONAL ARRANGEMENTS FOR ELABORATING NATIONAL COMMUNICATIONS ON PERMANENT BASES
The Third National Communication of Brazil to the Convention (TNC) is a project activity executed under the
national execution modality by the General Coordination of Global Climate Change at the Ministry of Science,
Technology and Innovation (MCTI), which will be responsible for the technical implementation of the project as
a whole, through the General Coordination of Global Climate Change (CGMC). The CGMC was also responsible
for coordinating the activities of the Initial and Second Communications of Brazil to the Convention. The Global
Environment Facility (GEF) funds the project, supervision of the activities required to achieve the project’s objectives
is up to the United Nations Development Programme (UNDP), whose team works directly with MCTI. In addition to
these institutions, the Brazilian Cooperation Agency (ABC) has approved the project.
The project has a Director and a National Coordinator. Both are staff members of the CGMC and are responsible
for ensuring that the project implementation follows national policy and standards, as well keeping the MCTI
updated on project advances and challenges as needed. They will also have responsibility for, among others: (i)
managing and executing the project; (ii) coordinating the management of financial resources and procurement; (iii)
reporting on the application of resources and results achieved; (iv) preparing management reports for the MCTI,
GEF and UNDP; (v) promoting inter-institutional linkages; and (vi) monitoring and evaluation, and disseminating
project results. The team is also composed of supervisors and consultants, hired with GEF resources, who directly
act together with the Director and Coordinator on the management and coordination of the project technical
activities.
Regarding academic and research contribution, the Brazilian Research Network on Global Climate Change70 (Rede
CLIMA) contributed significantly for the development of the TNC. For the third inventory of this Communication,
the engagement of this network, with the involvement of sub-network researchers, who supported the production
data, is of note. Moreover, the Rede CLIMA, in partnership with other researchers made an important contribution
to the TNC on the impacts and vulnerability of ecosystems and the Brazilian population to global climate change.
This TNC presents the results of the newest studies on climate modeling, conducted by the National Institute
for Space Research (INPE), which estimated climate change impacts on the following sectors: health, biodiversity,
energy, water resources, agriculture, natural disasters and coastal zones. CGMC supported and coordinated the
preparation of these studies, which will support discussions on the Brazilian National Adaptation Plan – currently
underway – under the joint coordination of MMA and MCTI. Such studies filled data and information gaps and
represent improvements in Brazil’s capacity to forecast and monitor the impacts and adaptation needs of the
country to minimize the expected negative effects of global climate change.
In addition to the Greenhouse Gases Inventory in Brazil, the National Communication summarizes information
on mitigation and adaptation to climate change in the country, training initiatives, training and public awareness
on the subject, Clean Development Mechanism (CDM), research and systematic observation of future scenarios of
climate change and technology transfer. The CGCM is responsible for compiling and disseminating this information
in the document of the National Communication.
70 About Rede CLIMA, refer to subsection Capacity Building, item 2.2 herein.
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In terms of the division of tasks for the Third Inventory, in addition to the institutions linked to Rede CLIMA
for the study of emissions from the Agriculture, Waste Treatment, Energy and Land Use, Land-Use Change and
Forestry sectors, contributions were made by associations of key industries such as aluminum (Brazilian Aluminum
Association – ABAL) cement (the National Union of Cimento – SNIC), steel (Brazil Steel Institute – IABr), chemical
(Brazilian Association of Chemical Industry – ABIQUIM) and coal (Brazilian Coal Association – ABCM).
The Division of Climate, Ozone and Chemical Safety (DClima) of the Ministry of Foreign Affairs is the National
Focal Point and has the mission to promote coordination between the Brazilian Government and the Climate
Convention (UNFCCC). It is also responsible for officially submitting the Third National Communication.
3.2.1. Financial, Technical and Capacity-Building Difficulties Associated with the Preparation of the National Communication
Project BRA/10/G32 for the preparation of the Third National Communication (TNC) was funded by the Global
Environment Facility (GEF), which contributed with US$ 5,720,000, and by the Federal Government, which contributed
with US$ 6,500,000. The implementing entity is the United Nations Development Programme and the Ministry of
Science, Technology and Innovation is the executing entity. Regarding the financial aspects for the preparation of
the TNC there was no difficulty imposed by the correct application of the Project’s funds or appreciation of Brazil’s
currency compared to the dollar at the time.
The work of MCTI staff together with the Technical Supervisors of BRA/10/G32 Project for the preparation of
the Third National Communication (TNC) demanded effort to overcome challenges posed by the ambitious goals to
be reached. In that sense, the technical and administrative difficulties encountered were proportional to the scope
of the document, which sought to contextualize the insertion of Brazil in the Climate Convention under new and
more detailed aspects without neglecting the known methodological rigor, whose constant progress is inherent to
the presentation of the National Inventory of Greenhouse Gases.
A considerable part of the TNC resulted from a secondary data collection of the Government and other
institutional research organizations that, directly or indirectly, contribute to the production of public information.
For that, the approximation of the TNC to its collaborating sources for the drafting of sections such as the National
and Special Circumstances was made, with collaborations – inter alia – of the Institute of Applied Economic
Research (IPEA), Ministry of Education (MEC), Ministry of Health (MS) and the Brazilian Panel on Climate Change.
Difficulties were raised throughout the cooperation work usually resulting from the additional steps taken
in each front. In that sense, the difficult was more evident when facing non-exclusive dedication to the Project
activities of its various partners and lacking of technical-scientific staff with advanced knowledge in specific
studies areas was needed. On the other hand, it was possible to promote a convenient approach with the scientific
community, especially via Rede CLIMA, which embraced its responsibility for the scientific rigor in the elaboration of
the National Inventory of Greenhouse Gases and in studies of sectoral vulnerabilities to climate change, launching
such partnership in Brazil for the elaboration of a National Communication to the Climate Convention.
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In addition to the direct gains that were sought for the TNC, the convergence with Rede CLIMA was fruitful
in generating additional gains in terms of unprecedented scientific knowledge production and input to other
government initiatives, such as the preparation of the National Adaptation Plan, which is underway. Involved
in this partnership, INPE provided relevant information to the planning of activities that would result in the
development of vulnerabilities studies, which included the support of the Project for the acquisition of equipment
and insertion of Brazil in the Earth System Grid Federation (ESGF), which will play a key role in sharing studies, data
and information in such a promising field.
Finally, it is worth mentioning that the managing team of the Project, possibly due to the difficulties faced, was
able to absorb and document priceless information required to maintain a great level of perfection of the National
Communications of Brazil published so far which will certainly contribute to a smoother and even more robust
implementation of future editions.
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